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

M•••••• A•••••• R•••

A••••••••• F•••••••• S•••••••• L••national BDAtlanta, Ga dual registrantIAPD 6206524

Certified Financial Planner

Feed of 09/15/2026

Also filed as M•••••• A•••••• R•••

At current firm

2 y

since Mar 6, 2024

In the industry

13 y

since Jun 1, 2013 (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

A••••••••• F•••••••• S•••••••• L•• national BD current
since Mar 6, 2024 · Atlanta, Ga
W•••••• F•••••••• S••••••• independent RIA
Nov 22, 2023 to Dec 13, 2023 · Bowie, Md
C••••••••• F•••••••• N•••••• national BD
Oct 31, 2023 to Dec 11, 2023 · Bowie, Md
M••••• S•••••• wirehouse
Sep 5, 2023 to Nov 1, 2023 · Washington, Dc
E•••••• C•••••• M••••••••• L•• former
Aug 7, 2018 to Sep 5, 2023 · Washington, Dc
C•••••• O•• A•••••••• L•• former
Jun 8, 2017 to Jul 25, 2018 · Silver Spring, Md
M•• I•••••••• S•••••••• L•• BD affiliated
Dec 13, 2016 to Jun 13, 2017 · Rockville, Md

Moves

a registration end followed by a registration begin elsewhere

W•••••• F•••••••• S••••••• to A••••••••• F•••••••• S•••••••• L••
left Dec 13, 2023, registered Mar 6, 2024 (84 days) · RIA to affiliated broker-dealer or bank
C••••••••• F•••••••• N•••••• to W•••••• F•••••••• S•••••••
left Dec 11, 2023, registered Nov 22, 2023 (-19 days) · Affiliated broker-dealer or bank to independent RIA
M••••• S•••••• to C••••••••• F•••••••• N••••••
left Nov 1, 2023, registered Oct 31, 2023 (-1 days) · Wirehouse to affiliated broker-dealer or bank
E•••••• C•••••• M••••••••• L•• to M••••• S••••••
left Sep 5, 2023, registered Sep 5, 2023 (0 days) · corporate re-registration, not a move
C•••••• O•• A•••••••• L•• to E•••••• C•••••• M••••••••• L••
left Jul 25, 2018, registered Aug 7, 2018 (13 days) · Affiliated broker-dealer or bank to independent RIA
M•• I•••••••• S•••••••• L•• to C•••••• O•• A•••••••• L••
left Jun 13, 2017, registered Jun 8, 2017 (-5 days) · Other

Signals

M•••••• A•••••• R••• left W•••••• F•••••••• S••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2024-03-06)
Dec 13, 2023 · Advisor changed firm · fact
M•••••• A•••••• R••• left C••••••••• F•••••••• N•••••• for W•••••• F•••••••• S••••••• (registered 2023-11-22)
Dec 11, 2023 · Advisor changed firm · fact
M•••••• A•••••• R••• left M••••• S•••••• for C••••••••• F•••••••• N•••••• (registered 2023-10-31)
Nov 1, 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: National broker-dealer RIAderived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address