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••••••••• M•••••• O••••

A••••• A•• P••••••• S•••••••BD affiliatedAtlanta, Ga dual registrantIAPD 6215234

Feed of 09/14/2026

Also filed as C••••••••• M•••••• O••••

At current firm

1 y

since Jun 27, 2025

In the industry

13 y

since Aug 15, 2013 (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

A••••• A•• P••••••• S••••••• BD affiliated current
since Jun 27, 2025 · Atlanta, Ga
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jun 21, 2023 to May 21, 2025 · Atlanta, Ga
U••• B•••••• I••••••••• I••• former
May 4, 2021 to Jun 23, 2023 · Lake Saint Louis, Mo
F••••• I••••••••• independent RIA
Jul 17, 2019 to Mar 2, 2021 · Plano, Tx
A••••• A•• P••••••• S••••••• BD affiliated
Apr 25, 2016 to Jun 11, 2019 · Charlotte, Nc

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••• A•• P••••••• S•••••••
left May 21, 2025, registered Jun 27, 2025 (37 days) · Wirehouse to affiliated broker-dealer or bank
U••• B•••••• I••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jun 23, 2023, registered Jun 21, 2023 (-2 days) · Affiliated broker-dealer or bank to wirehouse
F••••• I••••••••• to U••• B•••••• I••••••••• I•••
left Mar 2, 2021, registered May 4, 2021 (63 days) · RIA to affiliated broker-dealer or bank
A••••• A•• P••••••• S••••••• to F••••• I•••••••••
left Jun 11, 2019, registered Jul 17, 2019 (36 days) · Affiliated broker-dealer or bank to independent RIA

Signals

C••••••••• M•••••• O•••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for A••••• A•• P••••••• S••••••• (registered 2025-06-27)
May 21, 2025 · Advisor changed firm · fact
C••••••••• M•••••• O•••• left U••• B•••••• I••••••••• I••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2023-06-21)
Jun 23, 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: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address