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

I••• O••• M•••••

M•• I•••••••• S•••••••• L••BD affiliatedGlen Allen, Vadual registrantIAPD 4537633

Feed of 09/14/2026

Also filed as I••• M•••••

At current firm

2 y

since Aug 15, 2024

In the industry

24 y

since Aug 30, 2002 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M•• I•••••••• S•••••••• L•• BD affiliated current
since Aug 15, 2024 · Glen Allen, Va
W•••• F•••• A••••••• wirehouse
Nov 3, 2021 to Jun 6, 2024 · St. Louis, Mo
S••••• I••••••••• M••••••••• L•• independent RIA
Mar 12, 2020 to Jun 3, 2021 · Maiden, Va
O••••••••• S••••••••• I••• BD affiliated
Nov 2, 2016 to Feb 5, 2020 · Midlothian, Va
E•••••••• A•••••••• L•• national BD
Sep 20, 2011 to Oct 4, 2016 · Richmond, Va
O••••••••• S••••••••• I••• BD affiliated
May 28, 2009 to Oct 5, 2011 · Glen Allen, Va
N••••••••• S••••••••• L•• no RAUM
Aug 1, 2008 to May 6, 2009 · Maidens, Va
1••• C•••••• M••••••••• C•••••• unclassified
Jun 18, 2008 to Aug 1, 2008 · Richmond, Va
O• I••••••••• M••••••••• C• BD affiliated
Jul 14, 2004 to Jun 19, 2008 · Maidens, Va
E•••••••• A•••••••• L•• national BD
Sep 6, 2002 to May 28, 2004 · Richmond, Va

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to M•• I•••••••• S•••••••• L••
left Jun 6, 2024, registered Aug 15, 2024 (70 days) · Wirehouse to affiliated broker-dealer or bank
S••••• I••••••••• M••••••••• L•• to W•••• F•••• A•••••••
left Jun 3, 2021, registered Nov 3, 2021 (153 days) · RIA to wirehouse
O••••••••• S••••••••• I••• to S••••• I••••••••• M••••••••• L••
left Feb 5, 2020, registered Mar 12, 2020 (36 days) · Affiliated broker-dealer or bank to independent RIA
E•••••••• A•••••••• L•• to O••••••••• S••••••••• I•••
left Oct 4, 2016, registered Nov 2, 2016 (29 days) · Other · moved with a team
O••••••••• S••••••••• I••• to E•••••••• A•••••••• L••
left Oct 5, 2011, registered Sep 20, 2011 (-15 days) · Other
N••••••••• S••••••••• L•• to O••••••••• S••••••••• I•••
left May 6, 2009, registered May 28, 2009 (22 days) · Other
1••• C•••••• M••••••••• C•••••• to N••••••••• S••••••••• L••
left Aug 1, 2008, registered Aug 1, 2008 (0 days) · corporate re-registration, not a move
O• I••••••••• M••••••••• C• to 1••• C•••••• M••••••••• C••••••
left Jun 19, 2008, registered Jun 18, 2008 (-1 days) · Other
E•••••••• A•••••••• L•• to O• I••••••••• M••••••••• C•
left May 28, 2004, registered Jul 14, 2004 (47 days) · Other

Signals

I••• O••• M••••• left W•••• F•••• A••••••• for M•• I•••••••• S•••••••• L•• (registered 2024-08-15)
Jun 6, 2024 · 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: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address