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.

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Registered advisor

C•••••• A• C•••

L•• F•••••••• L••BD affiliatedMt. Pleasant, Scdual registrantIAPD 4178444

Feed of 09/14/2026

At current firm

1 y

since May 19, 2025

In the industry

26 y

since Jul 21, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since May 19, 2025 · Mt. Pleasant, Sc
M••••••• F•••••••• G••••• I••• former
Aug 4, 2008 to Jul 16, 2025 · Mount Pleasant, Sc
F•• S••••••••• C••••••••• former
Jul 17, 2008 to Jul 30, 2008 · Mt. Pleasant, Sc
C•••••••• G••••• M•••••• I••• BD affiliated
Oct 6, 2000 to Jul 24, 2008 · Charleston, Sc

Moves

a registration end followed by a registration begin elsewhere

M••••••• F•••••••• G••••• I••• to L•• F•••••••• L••
left Jul 16, 2025, registered May 19, 2025 (-58 days) · RIA to affiliated broker-dealer or bank · moved with a team
F•• S••••••••• C••••••••• to M••••••• F•••••••• G••••• I•••
left Jul 30, 2008, registered Aug 4, 2008 (5 days) · Other
C•••••••• G••••• M•••••• I••• to F•• S••••••••• C•••••••••
left Jul 24, 2008, registered Jul 17, 2008 (-7 days) · Other

Signals

C•••••• A• C••• left M••••••• F•••••••• G••••• I••• for L•• F•••••••• L•• (registered 2025-05-19)
Jul 16, 2025 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address