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

C•••••••• A•••• C••••••

S••••••••• W••••• M•••••••••state registeredGlen Allen, VaIA-onlyIAPD 5362641

Certified Financial Planner

Feed of 09/14/2026

Also filed as C•••••••• Marie A••••

At current firm

7 y

since Jan 31, 2019

In the industry

19 y

since Aug 29, 2007 (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

S••••••••• W••••• M••••••••• state registered current
since Jan 31, 2019 · Glen Allen, Va
A•••• F•••••••• unclassified
Sep 8, 2018 to Jan 6, 2019 · Richmond, Va
S•••••• A•• L••••• independent RIA
Apr 10, 2018 to Oct 1, 2018 · Richmond, Va
W•••• F•••• A••••••• wirehouse
Jul 7, 2016 to Apr 4, 2018 · Richmond, Va
M••••• S•••••• wirehouse
Apr 8, 2013 to Jul 21, 2016 · Richmond, Va
W•••• F•••• A••••••• wirehouse
Feb 22, 2013 to Apr 10, 2013 · Richmond, Va
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Sep 29, 2011 to Feb 26, 2013 · Richmond, Va
W•••• F•••• A••••••• wirehouse
Aug 13, 2010 to Sep 13, 2011 · Richmond, Va
A••••••••• F•••••••• S•••••••• L•• national BD
Aug 30, 2007 to Oct 26, 2009 · Richmond, Va

Moves

a registration end followed by a registration begin elsewhere

A•••• F•••••••• to S••••••••• W••••• M•••••••••
left Jan 6, 2019, registered Jan 31, 2019 (25 days) · Other
S•••••• A•• L••••• to A•••• F••••••••
left Oct 1, 2018, registered Sep 8, 2018 (-23 days) · Other
W•••• F•••• A••••••• to S•••••• A•• L•••••
left Apr 4, 2018, registered Apr 10, 2018 (6 days) · Wirehouse to independent RIA · moved with a team
M••••• S•••••• to W•••• F•••• A•••••••
left Jul 21, 2016, registered Jul 7, 2016 (-14 days) · Wirehouse to wirehouse
W•••• F•••• A••••••• to M••••• S••••••
left Apr 10, 2013, registered Apr 8, 2013 (-2 days) · Wirehouse to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••
left Feb 26, 2013, registered Feb 22, 2013 (-4 days) · Wirehouse to wirehouse
W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Sep 13, 2011, registered Sep 29, 2011 (16 days) · Wirehouse to wirehouse
A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••
left Oct 26, 2009, registered Aug 13, 2010 (291 days) · Affiliated broker-dealer or bank to wirehouse

Signals

No dated event on this person.

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: STATE REGISTEREDderived
Years in industry: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address