DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

M••• F•••••••• S••••••

M•••• F•••••••• A•••••••BD affiliatedAlpharetta, Ga IA-onlyIAPD 2785218

Certified Financial Planner

Feed of 09/14/2026

Also filed as M••• Fredrick S••••••

At current firm

2 y

since Jul 29, 2024

In the industry

30 y

since Jul 1, 1996 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M•••• F•••••••• A••••••• BD affiliated current
since Jul 29, 2024 · Westfield, Nj
W•••••••• F•••••••• P••••••• former
Nov 21, 2017 to Aug 13, 2024 · W••••••••, Nj
K••••• A••••••• S•••••••• L•• BD affiliated
Apr 26, 2016 to Nov 17, 2017 · W••••••••, Nj
N•• A•••••• S•••••••• L•• former
Dec 10, 2004 to Sep 22, 2016 · W••••••••, Nj
M•• I•••••••• S•••••••• L•• BD affiliated
Jun 20, 2002 to Dec 13, 2004 · W••••••••, Nj

Moves

a registration end followed by a registration begin elsewhere

W•••••••• F•••••••• P••••••• to M•••• F•••••••• A•••••••
left Aug 13, 2024, registered Jul 29, 2024 (-15 days) · RIA to RIA · moved with a team
K••••• A••••••• S•••••••• L•• to W•••••••• F•••••••• P•••••••
left Nov 17, 2017, registered Nov 21, 2017 (4 days) · Other
N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••
left Sep 22, 2016, registered Apr 26, 2016 (-149 days) · corporate re-registration, not a move
M•• I•••••••• S•••••••• L•• to N•• A•••••• S•••••••• L••
left Dec 13, 2004, registered Dec 10, 2004 (-3 days) · Other

Signals

M••• F•••••••• S•••••• left W•••••••• F•••••••• P••••••• for M•••• F•••••••• A••••••• (registered 2024-07-29)
Aug 13, 2024 · a•••••• firm change · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address