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

L••••• M••••••• M••••••

C••••• I••••••••• A••••••• L••BD affiliatedBirmingham, Aldual registrantIAPD 4836183

Feed of 09/14/2026

Also filed as L••••• Marie Spivey

At current firm

3 y

since Jan 10, 2023

In the industry

18 y

since May 27, 2008 (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

C••••• I••••••••• A••••••• L•• BD affiliated current
since Jan 10, 2023 · Birmingham, Al
M••••• S•••••• wirehouse
Dec 6, 2012 to Nov 15, 2022 · Atlanta, Ga
A•••• W••••• M••••••••• L•• independent RIA
Aug 22, 2012 to Jan 17, 2013 · Atlanta, Ga
M••••• S•••••• wirehouse
Jun 1, 2009 to Aug 8, 2012 · Atlanta, Ga
C•••••••• G••••• M•••••• I••• BD affiliated
Jun 3, 2008 to Jun 1, 2009 · Atlanta, Ga

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to C••••• I••••••••• A••••••• L••
left Nov 15, 2022, registered Jan 10, 2023 (56 days) · Wirehouse to affiliated broker-dealer or bank
A•••• W••••• M••••••••• L•• to M••••• S••••••
left Jan 17, 2013, registered Dec 6, 2012 (-42 days) · Other
M••••• S•••••• to A•••• W••••• M••••••••• L••
left Aug 8, 2012, registered Aug 22, 2012 (14 days) · Other
C•••••••• G••••• M•••••• I••• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move

Signals

L••••• M••••••• M•••••• left M••••• S•••••• for C••••• I••••••••• A••••••• L•• (registered 2023-01-10)
Nov 15, 2022 · 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: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address