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••••• M••••••••

A••••••••• F•••••••• S•••••••• L••national BDAtlanta, Ga dual registrantIAPD 4728674

Feed of 09/14/2026

Also filed as S••••• P M••••••••

At current firm

2 y

since May 16, 2024

In the industry

21 y

since Mar 18, 2005 (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

A••••••••• F•••••••• S•••••••• L•• national BD current
since May 16, 2024 · Atlanta, Ga
K••••• A••••••• S•••••••• L•• BD affiliated
May 4, 2023 to May 2, 2024 · Austin, Tx
A••••••••• F•••••••• S•••••••• L•• national BD
Oct 16, 2015 to Mar 31, 2023 · Atlanta, Ga
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Apr 27, 2015 to Oct 12, 2015 · Cumming, Ga
R•• C•••••• M••••••• L•• national BD
Jun 24, 2013 to Apr 28, 2015 · Atlanta, Ga
A••••••••• F•••••••• S•••••••• L•• national BD
Oct 5, 2009 to Jul 2, 2013 · Atlanta, Ga
A••••••••• A•••••• S•••••••• I••• unclassified
Mar 23, 2006 to Oct 5, 2009 · Atlanta, Ga
A• G• E•••••• • S•••• I••• unclassified
Nov 29, 2005 to Mar 23, 2006 · Duluth, Ga

Moves

a registration end followed by a registration begin elsewhere

K••••• A••••••• S•••••••• L•• to A••••••••• F•••••••• S•••••••• L••
left May 2, 2024, registered May 16, 2024 (14 days) · Affiliated broker-dealer or bank to another
A••••••••• F•••••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••
left Mar 31, 2023, registered May 4, 2023 (34 days) · Affiliated broker-dealer or bank to another · moved with a team
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to A••••••••• F•••••••• S•••••••• L••
left Oct 12, 2015, registered Oct 16, 2015 (4 days) · Other
R•• C•••••• M••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Apr 28, 2015, registered Apr 27, 2015 (-1 days) · Other
A••••••••• F•••••••• S•••••••• L•• to R•• C•••••• M••••••• L••
left Jul 2, 2013, registered Jun 24, 2013 (-8 days) · Affiliated broker-dealer or bank to another
A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••
left Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
A• G• E•••••• • S•••• I••• to A••••••••• A•••••• S•••••••• I•••
left Mar 23, 2006, registered Mar 23, 2006 (0 days) · Other

Signals

S••••• M•••••••• left K••••• A••••••• S•••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2024-05-16)
May 2, 2024 · a•••••• firm change · fact
S••••• M•••••••• left A••••••••• F•••••••• S•••••••• L•• for K••••• A••••••• S•••••••• L•• (registered 2023-05-04)
Mar 31, 2023 · 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: National broker-dealer RIAderived
Years in industry: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address