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

S••• T••••• B••••••

W•••• F•••• A•••••••wirehouseColumbia, Scdual registrantIAPD 4173771

Feed of 09/14/2026

At current firm

9 y

since Oct 17, 2016

In the industry

25 y

since Mar 3, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W•••• F•••• A••••••• wirehouse current
since Oct 17, 2016 · Columbia, Sc
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Apr 21, 2015 to Apr 26, 2016 · Columbia, Sc
C••••• I••••••••• A••••••• L•• BD affiliated
Oct 13, 2014 to Apr 30, 2015 · Aiken, Sc
V•••• F•••••••• A•••••••• I••• BD affiliated
Sep 11, 2014 to Oct 16, 2014 · Columbia, Sc
B••• I••••••••• S•••••••• I••• former
May 17, 2011 to Jun 3, 2014 · Columbia, Sc
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 23, 2009 to Mar 15, 2011 · Charlotte, Nc
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Dec 19, 2008 to Oct 23, 2009 · Columbia, Sc
W•••• F•••• A••••••• wirehouse
Dec 2, 2005 to Dec 1, 2008 · Columbia, Sc
S••••••• I••••••••• S•••••••• I••• former
Jun 6, 2003 to Nov 4, 2005 · Richmond, Va
U•• F•••••••• S••••••• I••• wirehouse
May 14, 2001 to Jun 3, 2003 · Richmond, Va

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••
left Apr 26, 2016, registered Oct 17, 2016 (174 days) · Wirehouse to wirehouse
C••••• I••••••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Apr 30, 2015, registered Apr 21, 2015 (-9 days) · Other
V•••• F•••••••• A•••••••• I••• to C••••• I••••••••• A••••••• L••
left Oct 16, 2014, registered Oct 13, 2014 (-3 days) · Other
B••• I••••••••• S•••••••• I••• to V•••• F•••••••• A•••••••• I•••
left Jun 3, 2014, registered Sep 11, 2014 (100 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• I••••••••• S•••••••• I•••
left Mar 15, 2011, registered May 17, 2011 (63 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
W•••• F•••• A••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Dec 1, 2008, registered Dec 19, 2008 (18 days) · Other
S••••••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••
left Nov 4, 2005, registered Dec 2, 2005 (28 days) · Other
U•• F•••••••• S••••••• I••• to S••••••• I••••••••• S•••••••• I•••
left Jun 3, 2003, registered Jun 6, 2003 (3 days) · Other

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: Wirehousederived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address