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••••• W•••••• B•••••••

M••••• S••••••wirehouseFlorence, Aldual registrantIAPD 5083504

Certified Financial Planner

Feed of 09/14/2026

At current firm

1 y

since Jun 20, 2025

In the industry

20 y

since Mar 17, 2006 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, 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••••• S•••••• wirehouse current
since Jun 20, 2025 · Florence, Al
E••••• J•••• national BD
Apr 8, 2016 to Jun 23, 2025 · Florence, Al
M••••• S•••••• wirehouse
Aug 15, 2012 to Apr 8, 2016 · Florence, Al
P•• M•••••• A•••••• S••••••••• I••• former
Oct 15, 2010 to Sep 18, 2012 · Houston, Tx
S• J•••• W••••• M••••••••• unclassified
Apr 7, 2010 to Oct 15, 2010 · Muscle Shoals, Al
B••• C•••••• I••••••••• S••••••••• I•• unclassified
Aug 26, 2009 to Mar 17, 2010 · Muscle Shoals, Al
W•••• F•••• A••••••• wirehouse
Nov 29, 2007 to Aug 7, 2009 · Muscle Shoals, Al
E••••• J•••• national BD
Jul 3, 2007 to Oct 4, 2007 · Huntsville, Al

Moves

a registration end followed by a registration begin elsewhere

E••••• J•••• to M••••• S••••••
left Jun 23, 2025, registered Jun 20, 2025 (-3 days) · Affiliated broker-dealer or bank to wirehouse
M••••• S•••••• to E••••• J••••
left Apr 8, 2016, registered Apr 8, 2016 (0 days) · Wirehouse to affiliated broker-dealer or bank
P•• M•••••• A•••••• S••••••••• I••• to M••••• S••••••
left Sep 18, 2012, registered Aug 15, 2012 (-34 days) · Other
S• J•••• W••••• M••••••••• to P•• M•••••• A•••••• S••••••••• I•••
left Oct 15, 2010, registered Oct 15, 2010 (0 days) · corporate re-registration, not a move
B••• C•••••• I••••••••• S••••••••• I•• to S• J•••• W••••• M•••••••••
left Mar 17, 2010, registered Apr 7, 2010 (21 days) · corporate re-registration, not a move
W•••• F•••• A••••••• to B••• C•••••• I••••••••• S••••••••• I••
left Aug 7, 2009, registered Aug 26, 2009 (19 days) · Other
E••••• J•••• to W•••• F•••• A•••••••
left Oct 4, 2007, registered Nov 29, 2007 (56 days) · Affiliated broker-dealer or bank to wirehouse

Signals

R••••• W•••••• B••••••• left E••••• J•••• for M••••• S•••••• (registered 2025-06-20)
Jun 23, 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: Wirehousederived
Years in industry: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address