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

M•••••• J•••• L••••••••

S•••• R•••• W••••• M••••••••• L••state registeredJohns Island, ScIA-onlyIAPD 4664016

Feed of 09/14/2026

Also filed as M•••••• L••••••••

At current firm

1 y

since Jun 5, 2025

In the industry

23 y

since Aug 19, 2003 (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

S•••• R•••• W••••• M••••••••• L•• state registered current
since Jun 5, 2025 · Johns Island, Sc
P••••••• A••••••• state registered
Jul 30, 2019 to Jun 3, 2025 · C••••••Ton, Sc
V••••••• C•••••• M••••••••• I••• other
Aug 30, 2017 to Jul 30, 2019 · C••••••Ton, Sc
C•••••• S••••• • C••• I••• national BD
Apr 16, 2008 to Aug 9, 2017 · Columbia, Sc
A••••••••• F•••••••• S•••••••• L•• national BD
Mar 30, 2005 to Mar 19, 2008 · Paramus, Nj

Moves

a registration end followed by a registration begin elsewhere

P••••••• A••••••• to S•••• R•••• W••••• M••••••••• L••
left Jun 3, 2025, registered Jun 5, 2025 (2 days) · Other
V••••••• C•••••• M••••••••• I••• to P••••••• A•••••••
left Jul 30, 2019, registered Jul 30, 2019 (0 days) · RIA to a state-registered adviser
C•••••• S••••• • C••• I••• to V••••••• C•••••• M••••••••• I•••
left Aug 9, 2017, registered Aug 30, 2017 (21 days) · Affiliated broker-dealer or bank to independent RIA
A••••••••• F•••••••• S•••••••• L•• to C•••••• S••••• • C••• I•••
left Mar 19, 2008, registered Apr 16, 2008 (28 days) · Affiliated broker-dealer or bank to another

Signals

M•••••• J•••• L•••••••• left P••••••• A••••••• for S•••• R•••• W••••• M••••••••• L•• (registered 2025-06-05)
Jun 3, 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: STATE REGISTEREDderived
Years in industry: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address