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.
Feed of 09/14/2026
Also filed as Carlton Edwin Anderson
At current firm
0 y
since Sep 11, 2026
In the industry
27 y
since Mar 17, 1999 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Savvy independent RIA currentsince Sep 11, 2026 · Old Greenwich, Ct
- The Dowling Group Wealth Management independent RIAMar 31, 2020 to Jan 27, 2026 · Greenwich, Ct
- Ameriprise Financial Services, LLC national BDMar 8, 2018 to Dec 20, 2019 · Greenwich, Ct
- Janney Montgomery Scott LLC BD affiliatedJul 6, 2017 to Jan 8, 2018 · Darien, Ct
- MML Investors Services, LLC BD affiliatedMar 25, 2017 to Jul 10, 2017 · Stamford, Ct
- Msi Financial Services, Inc. formerSep 16, 2009 to Mar 25, 2017 · Stamford, Ct
Moves
a registration end followed by a registration begin elsewhere
- The Dowling Group Wealth Management to Savvyleft Jan 27, 2026, registered Sep 11, 2026 (227 days) · RIA to RIA
- Ameriprise Financial Services, LLC to The Dowling Group Wealth Managementleft Dec 20, 2019, registered Mar 31, 2020 (102 days) · Affiliated broker-dealer or bank to independent RIA
- Janney Montgomery Scott LLC to Ameriprise Financial Services, LLCleft Jan 8, 2018, registered Mar 8, 2018 (59 days) · Other
- MML Investors Services, LLC to Janney Montgomery Scott LLCleft Jul 10, 2017, registered Jul 6, 2017 (-4 days) · Other
- Msi Financial Services, Inc. to MML Investors Services, LLCleft Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
Signals
- Carlton Edwin Anderson left The Dowling Group Wealth Management for Savvy (registered 2026-09-11)Jan 27, 2026 · Advisor changed firm · 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
- Independent wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address