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

P••• A••••• C••••••••

L•• F•••••••• L••BD affiliatedMount Pleasant, Scdual registrantIAPD 4600637

Feed of 09/14/2026

At current firm

2 y

since Sep 3, 2024

In the industry

23 y

since Feb 3, 2003 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

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 Sep 3, 2024 · Mount Pleasant, Sc
C••••• I••••••••• A••••••• L•• BD affiliated
Jun 29, 2023 to Sep 10, 2024 · North Charleston, Sc
C••••• A•••••• N••••••• L•• former
Jun 9, 2021 to Jun 29, 2023 · North Charleston, Sc
V••• F•••••••• A•••••••• I••• BD affiliated
Mar 4, 2009 to Jun 9, 2021 · Charleston, Sc
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Jan 17, 2006 to Feb 19, 2009 · Charleston, Sc
B••• I••••••••• S•••••••• I••• former
Apr 19, 2005 to Jan 4, 2006 · Charlotte, Nc

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••
left Sep 10, 2024, registered Sep 3, 2024 (-7 days) · Affiliated broker-dealer or bank to another · moved with a team
C••••• A•••••• N••••••• L•• to C••••• I••••••••• A••••••• L••
left Jun 29, 2023, registered Jun 29, 2023 (0 days) · corporate re-registration, not a move
V••• F•••••••• A•••••••• I••• to C••••• A•••••• N••••••• L••
left Jun 9, 2021, registered Jun 9, 2021 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
B••• O• A•••••• I••••••••• S•••••••• I••• to V••• F•••••••• A•••••••• I•••
left Feb 19, 2009, registered Mar 4, 2009 (13 days) · Other
B••• I••••••••• S•••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Jan 4, 2006, registered Jan 17, 2006 (13 days) · Other

Signals

P••• A••••• C•••••••• left C••••• I••••••••• A••••••• L•• for L•• F•••••••• L•• (registered 2024-09-03)
Sep 10, 2024 · a•••••• firm change · 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: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address