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•••••• P•••

T•• S•••••••• F•••••••• A•••••••BD affiliatedAtlanta, Ga dual registrantIAPD 4557055

Feed of 09/15/2026

At current firm

2 y

since Jan 8, 2024

In the industry

24 y

since Jan 1, 2002 (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

T•• S•••••••• F•••••••• A••••••• BD affiliated current
since Jan 8, 2024 · Ewa Beach, Hi
O•••• W•••••• I••• BD affiliated
Sep 1, 2023 to Jan 11, 2024 · Ewa Beach, Hi
S•••••••• F••••••••• I••• former
Sep 10, 2019 to Sep 1, 2023 · Honolulu, Hi
O•••• W•••••• I••• BD affiliated
Oct 21, 2013 to Sep 3, 2019 · Kailua, Hi
A••••••••• F•••••••• S•••••••• L•• national BD
Feb 6, 2009 to Oct 21, 2013 · Honolulu, Hi
V•••• F•••••••• A•••••••• I••• BD affiliated
Dec 17, 2003 to Jan 28, 2009 · Honolulu, Hi

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to T•• S•••••••• F•••••••• A•••••••
left Jan 11, 2024, registered Jan 8, 2024 (-3 days) · Affiliated broker-dealer or bank to another
S•••••••• F••••••••• I••• to O•••• W•••••• I•••
left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
O•••• W•••••• I••• to S•••••••• F••••••••• I•••
left Sep 3, 2019, registered Sep 10, 2019 (7 days) · channel change inside one enterprise, not a move
A••••••••• F•••••••• S•••••••• L•• to O•••• W•••••• I•••
left Oct 21, 2013, registered Oct 21, 2013 (0 days) · Other
V•••• F•••••••• A•••••••• I••• to A••••••••• F•••••••• S•••••••• L••
left Jan 28, 2009, registered Feb 6, 2009 (9 days) · Other

Signals

R•••••• P••• left O•••• W•••••• I••• for T•• S•••••••• F•••••••• A••••••• (registered 2024-01-08)
Jan 11, 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