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•••••••• L•••• T••••

P•••••••• S••••• A•••••••• L••state registeredColumbia, ScIA-onlyIAPD 6222686

Certified Financial Planner

Feed of 09/14/2026

At current firm

2 y

since May 8, 2024

In the industry

12 y

since Jan 31, 2014 (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

P•••••••• S••••• A•••••••• L•• state registered current
since May 8, 2024 · Columbia, Sc
A•••••• W••••• M••••••••• L•• i••••••••• wealth
Oct 11, 2023 to Apr 30, 2024 · Mount Pleasant, Sc
P••••• P•••••••• L•• former
Aug 15, 2018 to Sep 12, 2023 · West Columbia, Sc
I••••••••• A•••••• A•••••••• L•• i••••••••• wealth
Mar 7, 2014 to Aug 16, 2016 · Irmo, Sc

Moves

a registration end followed by a registration begin elsewhere

A•••••• W••••• M••••••••• L•• to P•••••••• S••••• A•••••••• L••
left Apr 30, 2024, registered May 8, 2024 (8 days) · RIA to a state-registered adviser
P••••• P•••••••• L•• to A•••••• W••••• M••••••••• L••
left Sep 12, 2023, registered Oct 11, 2023 (29 days) · RIA to RIA
I••••••••• A•••••• A•••••••• L•• to P••••• P•••••••• L••
left Aug 16, 2016, registered Aug 15, 2018 (729 days) · Other

Signals

C•••••••• L•••• T•••• left A•••••• W••••• M••••••••• L•• for P•••••••• S••••• A•••••••• L•• (registered 2024-05-08)
Apr 30, 2024 · a•••••• firm change · fact
C•••••••• L•••• T•••• left P••••• P•••••••• L•• for A•••••• W••••• M••••••••• L•• (registered 2023-10-11)
Sep 12, 2023 · a•••••• firm change · 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: STATE REGISTEREDderived
Years in industry: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address