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

R•••• A••• H•••

S•••••• N••••••• • C••••••• I•••••••••national BDColumbia, Scdual registrantIAPD 2880563

Feed of 09/14/2026

Also filed as R•••• A H•••

At current firm

11 y

since Jul 7, 2015

In the industry

29 y

since May 29, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••• N••••••• • C••••••• I••••••••• national BD current
since Jul 7, 2015 · Columbia, Sc
S••••• A••• A•••• M••••••••• I••• former
Jan 4, 2012 to Jul 7, 2015 · Columbia, Sc
A••••••• • S••••••••• I••••••••• former
Apr 4, 2005 to Dec 12, 2011 · Columbia, Sc
A•• C•••••• A•••••••• I••• unclassified
Oct 4, 2004 to Apr 4, 2005 · Richmond, Va
W•••• F•••• A••••••• wirehouse
Jun 20, 2002 to Oct 7, 2004 · Charlotte, Nc
W••••••• S••••••••• I••• unclassified
Apr 24, 2002 to Jun 20, 2002 · Charlotte, Nc

Moves

a registration end followed by a registration begin elsewhere

S••••• A••• A•••• M••••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••
left Jul 7, 2015, registered Jul 7, 2015 (0 days) · corporate re-registration, not a move
A••••••• • S••••••••• I••••••••• to S••••• A••• A•••• M••••••••• I•••
left Dec 12, 2011, registered Jan 4, 2012 (23 days) · Other
A•• C•••••• A•••••••• I••• to A••••••• • S••••••••• I•••••••••
left Apr 4, 2005, registered Apr 4, 2005 (0 days) · Other
W•••• F•••• A••••••• to A•• C•••••• A•••••••• I•••
left Oct 7, 2004, registered Oct 4, 2004 (-3 days) · Other
W••••••• S••••••••• I••• to W•••• F•••• A•••••••
left Jun 20, 2002, registered Jun 20, 2002 (0 days) · corporate re-registration, not a move

Signals

No dated event on this person.

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: National broker-dealer RIAderived
Years in industry: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address