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

A••• M•••••• G•••••

L•• F•••••••• L••BD affiliatedFort Mill, Sc dual registrantIAPD 5690584

Feed of 09/15/2026

Also filed as A••• M•••••• G•••••

At current firm

2 y

since Aug 22, 2024

In the industry

15 y

since Nov 18, 2010 (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

L•• F•••••••• L•• BD affiliated current
since Aug 22, 2024 · Waxhaw, Nc
C••••••• S••••••••• I••• BD affiliated
Nov 9, 2020 to Jun 4, 2024 · Johnston, Ri
T• A••••••••• I••••••••• M••••••••• L•• former
Mar 20, 2018 to Nov 11, 2020 · St. Louis, Mo
T• A••••••••• I••• former
Mar 20, 2018 to Nov 11, 2020 · St. Louis, Mo
S•••••••• I••••••••• M••••••••• former
Feb 18, 2017 to Mar 20, 2018 · Saint Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

C••••••• S••••••••• I••• to L•• F•••••••• L••
left Jun 4, 2024, registered Aug 22, 2024 (79 days) · Affiliated broker-dealer or bank to another
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Nov 11, 2020, registered Mar 20, 2018 (-967 days) · channel change inside one enterprise, not a move · moved with a team
T• A••••••••• I••• to C••••••• S••••••••• I•••
left Nov 11, 2020, registered Nov 9, 2020 (-2 days) · Other
S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••
left Mar 20, 2018, registered Mar 20, 2018 (0 days) · Affiliated broker-dealer or bank to independent RIA

Signals

A••• M•••••• G••••• left C••••••• S••••••••• I••• for L•• F•••••••• L•• (registered 2024-08-22)
Jun 4, 2024 · 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: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address