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•••••• S••••• S••••••••

A•••••• W••••• M••••••••• L••independent RIAMount Pleasant, Sc IA-onlyIAPD 6041899

Certified Financial Planner

Feed of 09/15/2026

Also filed as R•••••• S••••••••

At current firm

1 y

since Oct 7, 2024

In the industry

14 y

since Jun 26, 2012 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A•••••• W••••• M••••••••• L•• independent RIA current
since Oct 7, 2024 · Rockville, Md
C•• W•••••• L•• former
Nov 13, 2017 to Dec 31, 2024 · Rockville, Md
C••••••••• F•••••••• N•••••• national BD
Nov 1, 2016 to Nov 14, 2017 · Gaithersburg, Md
M••••• L•• independent RIA
Oct 13, 2014 to Nov 1, 2016 · West Tysons Corner, Va
V••• F•••••••• A•••••••• I••• BD affiliated
Aug 24, 2012 to Oct 3, 2014 · Tysons Corner, Va

Moves

a registration end followed by a registration begin elsewhere

C•• W•••••• L•• to A•••••• W••••• M••••••••• L••
left Dec 31, 2024, registered Oct 7, 2024 (-85 days) · RIA to RIA
C••••••••• F•••••••• N•••••• to C•• W•••••• L••
left Nov 14, 2017, registered Nov 13, 2017 (-1 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
M••••• L•• to C••••••••• F•••••••• N••••••
left Nov 1, 2016, registered Nov 1, 2016 (0 days) · Other
V••• F•••••••• A•••••••• I••• to M••••• L••
left Oct 3, 2014, registered Oct 13, 2014 (10 days) · corporate re-registration, not a move

Signals

R•••••• S••••• S•••••••• left C•• W•••••• L•• for A•••••• W••••• M••••••••• L•• (registered 2024-10-07)
Dec 31, 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: Independent wealth managerderived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address