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••• M••••••

C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedAlpharetta, Ga dual registrantIAPD 5064180

Certified Financial Planner · Chartered Financial Consultant

Feed of 09/15/2026

Also filed as R••• M••••••

At current firm

1 y

since Jun 9, 2025

In the industry

20 y

since Mar 24, 2006 (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• W••••• M••••••••• state registered current
since Jan 22, 2026 · Alpharetta, Ga
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
since Jun 9, 2025 · Alpharetta, Ga
M• W••••• M••••••••• state registered
Aug 17, 2020 to Dec 31, 2025 · Alpharetta, Ga
C••••••••• F•••••••• N•••••• national BD
May 4, 2016 to Jun 9, 2025 · Waltham, Ma
M•• F•••••••• S•••••••• I••• former
Aug 30, 2007 to May 4, 2016 · Atlanta, Ga

Moves

a registration end followed by a registration begin elsewhere

M• W••••• M••••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Dec 31, 2025, registered Jun 9, 2025 (-205 days) · Other · moved with a team
C••••••••• F•••••••• N•••••• to M• W••••• M•••••••••
left Jun 9, 2025, registered Aug 17, 2020 (-1757 days) · Affiliated broker-dealer or bank to a state-registered adviser · moved with a team
M•• F•••••••• S•••••••• I••• to C••••••••• F•••••••• N••••••
left May 4, 2016, registered May 4, 2016 (0 days) · Other · moved with a team

Signals

S• R••• M•••••• left M• W••••• M••••••••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2025-06-09)
Dec 31, 2025 · Advisor changed firm · fact
S• R••• M•••••• left C••••••••• F•••••••• N•••••• for M• W••••• M••••••••• (registered 2020-08-17)
Jun 9, 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: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address