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

B•••• S•••• M••••••••

M•••• C••••••• A••••••• S••••••BD affiliatedWilliamsburg, Va IA-onlyIAPD 4638333

Chartered Financial Analyst

Feed of 09/14/2026

At current firm

11 y

since Apr 14, 2015

In the industry

23 y

since Jun 27, 2003 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W•• A•••••••• I•• independent RIA current
since Jun 18, 2019 · Williamsburg, Va
M•••• C••••••• A••••••• S•••••• BD affiliated current
since Apr 14, 2015 · Palm Beach Gardens, Fl
C••••••••• W••••• M••••••••• former
Apr 30, 2013 to Jan 16, 2015 · Williamsburg, Va
O•••• I••••••••• I••• BD affiliated
Jun 1, 2008 to Apr 29, 2013 · Williamsburg, Va
B• I••••••••• L•• unclassified
Feb 12, 2008 to Jun 1, 2008 · Williamsburg, Va
A••••••••• F•••••••• S•••••••• L•• national BD
Jul 8, 2003 to Oct 2, 2003 · Virginia Beach, Va

Moves

a registration end followed by a registration begin elsewhere

C••••••••• W••••• M••••••••• to M•••• C••••••• A••••••• S••••••
left Jan 16, 2015, registered Apr 14, 2015 (88 days) · Other
O•••• I••••••••• I••• to C••••••••• W••••• M•••••••••
left Apr 29, 2013, registered Apr 30, 2013 (1 days) · Other
B• I••••••••• L•• to O•••• I••••••••• I•••
left Jun 1, 2008, registered Jun 1, 2008 (0 days) · corporate re-registration, not a move
A••••••••• F•••••••• S•••••••• L•• to B• I••••••••• L••
left Oct 2, 2003, registered Feb 12, 2008 (1594 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: 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