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

S••••• R•••••• F••••

M•••• F•••••••• A•••••••BD affiliatedAlpharetta, Ga dual registrantIAPD 4677094

Feed of 09/14/2026

At current firm

0 y

since Nov 19, 2025

In the industry

22 y

since Jan 5, 2004 (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•••• F•••••••• A••••••• BD affiliated current
since Nov 19, 2025 · Rockford, Il
C••••••••• F•••••••• N•••••• national BD
Feb 26, 2021 to Nov 17, 2025 · Rockford, Il
A••••••••• F•••••••• S•••••••• L•• national BD
Aug 25, 2010 to Feb 27, 2021 · Rockton, Il
K•••• M••••••••• former
Jul 24, 2009 to Aug 30, 2010 · Ponte Vedra Beach, Fl
E••••••• I••••••••• A•••••••• L•• unclassified
Jan 9, 2009 to Jul 22, 2009 · Rockton, Il
E••••••• I••••••••• A•••••••• L•• unclassified
Oct 19, 2007 to Dec 31, 2008 · Rockton, Il
Q•••• C•••••• S••••••••• I••• former
Jun 20, 2007 to Oct 18, 2007 · Laguna Hills, Ca

Moves

a registration end followed by a registration begin elsewhere

C••••••••• F•••••••• N•••••• to M•••• F•••••••• A•••••••
left Nov 17, 2025, registered Nov 19, 2025 (2 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
A••••••••• F•••••••• S•••••••• L•• to C••••••••• F•••••••• N••••••
left Feb 27, 2021, registered Feb 26, 2021 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
K•••• M••••••••• to A••••••••• F•••••••• S•••••••• L••
left Aug 30, 2010, registered Aug 25, 2010 (-5 days) · Other
E••••••• I••••••••• A•••••••• L•• to K•••• M•••••••••
left Jul 22, 2009, registered Jul 24, 2009 (2 days) · Other
Q•••• C•••••• S••••••••• I••• to E••••••• I••••••••• A•••••••• L••
left Oct 18, 2007, registered Oct 19, 2007 (1 days) · Other

Signals

S••••• R•••••• F•••• left C••••••••• F•••••••• N•••••• for M•••• F•••••••• A••••••• (registered 2025-11-19)
Nov 17, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address