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

R••••• A•••••••••

M•••• F•••••••• A•••••••BD affiliatedAlpharetta, Ga dual registrantIAPD 4842279

Certified Financial Planner · Chartered Financial Analyst

Feed of 09/15/2026

Also filed as R••••• A•••••••••

At current firm

3 y

since Sep 22, 2022

In the industry

21 y

since Feb 14, 2005 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

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 Sep 22, 2022 · Alpharetta, Ga
B•• F•••••••• P•••••• W•••••• I••• independent RIA
Mar 5, 2020 to Oct 24, 2022 · Denver, Co
T••••••• W••••• A•••••••• I••• unclassified
Apr 12, 2015 to Mar 6, 2020 · Denver, Co
L•• F•••••••• L•• BD affiliated
Mar 29, 2010 to Mar 3, 2020 · Denver, Co
U•• F•••••••• S••••••• I••• wirehouse
Jun 25, 2008 to Mar 12, 2010 · Cincinnati, Oh
N••••••••• I••••••••• A•••••••• L•• BD affiliated
Dec 5, 2006 to Mar 11, 2008 · Columbus, Oh
N••••••••• I••••••••• S••••••• C••••••••• unclassified
Jul 27, 2006 to Dec 5, 2006 · Dublin, Oh
A••••••••• F•••••••• S•••••••• L•• national BD
Feb 14, 2005 to May 31, 2006 · Westlake, Oh

Moves

a registration end followed by a registration begin elsewhere

B•• F•••••••• P•••••• W•••••• I••• to M•••• F•••••••• A•••••••
left Oct 24, 2022, registered Sep 22, 2022 (-32 days) · RIA to RIA
T••••••• W••••• A•••••••• I••• to B•• F•••••••• P•••••• W•••••• I•••
left Mar 6, 2020, registered Mar 5, 2020 (-1 days) · Other
L•• F•••••••• L•• to T••••••• W••••• A•••••••• I•••
left Mar 3, 2020, registered Apr 12, 2015 (-1787 days) · Other
U•• F•••••••• S••••••• I••• to L•• F•••••••• L••
left Mar 12, 2010, registered Mar 29, 2010 (17 days) · Other
N••••••••• I••••••••• A•••••••• L•• to U•• F•••••••• S••••••• I•••
left Mar 11, 2008, registered Jun 25, 2008 (106 days) · Other
N••••••••• I••••••••• S••••••• C••••••••• to N••••••••• I••••••••• A•••••••• L••
left Dec 5, 2006, registered Dec 5, 2006 (0 days) · corporate re-registration, not a move
A••••••••• F•••••••• S•••••••• L•• to N••••••••• I••••••••• S••••••• C•••••••••
left May 31, 2006, registered Jul 27, 2006 (57 days) · Other

Signals

R••••• A••••••••• left B•• F•••••••• P•••••• W•••••• I••• for M•••• F•••••••• A••••••• (registered 2022-09-22)
Oct 24, 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: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address