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••• P•••••• M••••••••

T••••• A••••••• S•••••••• I•••BD affiliatedAtlanta, Gadual registrantIAPD 5747990

Feed of 09/14/2026

Also filed as S••• M••••••••

At current firm

2 y

since Aug 22, 2024

In the industry

16 y

since May 3, 2010 (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

T••••• A••••••• S•••••••• I••• BD affiliated current
since Aug 22, 2024 · Atlanta, Ga
W•••• F•••• A••••••• wirehouse
Jul 31, 2023 to Aug 15, 2024 · Cumming, Ga
T••••• A••••••• S•••••••• I••• BD affiliated
May 26, 2017 to Jul 31, 2023 · Atlanta, Ga
E•• F•••••••• A••••••• independent RIA
May 3, 2010 to Jan 28, 2011 · Sandy Springs, Ga

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to T••••• A••••••• S•••••••• I•••
left Aug 15, 2024, registered Aug 22, 2024 (7 days) · Wirehouse to affiliated broker-dealer or bank
T••••• A••••••• S•••••••• I••• to W•••• F•••• A•••••••
left Jul 31, 2023, registered Jul 31, 2023 (0 days) · Affiliated broker-dealer or bank to wirehouse
E•• F•••••••• A••••••• to T••••• A••••••• S•••••••• I•••
left Jan 28, 2011, registered May 26, 2017 (2310 days) · Other

Signals

S••• P•••••• M•••••••• left W•••• F•••• A••••••• for T••••• A••••••• S•••••••• I••• (registered 2024-08-22)
Aug 15, 2024 · Advisor changed firm · fact
S••• P•••••• M•••••••• left T••••• A••••••• S•••••••• I••• for W•••• F•••• A••••••• (registered 2023-07-31)
Jul 31, 2023 · 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: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address