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

D••••• E••• M••••

F•••••••• O••••••••• L••state registeredGreenville, ScIA-onlyIAPD 6435280

Certified Financial Planner

Feed of 09/14/2026

At current firm

1 y

since Nov 13, 2024

In the industry

11 y

since Apr 21, 2015 (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

F•••••••• O••••••••• L•• state registered current
since Nov 13, 2024 · Greenville, Sc
O•••••••• F•••••••• S••••••• L•• independent RIA
Jul 7, 2022 to Jul 3, 2023 · Greenville, Sc
W••••••• W••••• M••••••••• L•• unclassified
Feb 14, 2019 to Oct 5, 2022 · Greenville, Sc
W•••• F•••• A••••••• wirehouse
Nov 16, 2015 to Jul 3, 2018 · Greenville, Sc
W•••••• • R••• former
Apr 22, 2015 to Nov 24, 2015 · Greenville, Sc

Moves

a registration end followed by a registration begin elsewhere

O•••••••• F•••••••• S••••••• L•• to F•••••••• O••••••••• L••
left Jul 3, 2023, registered Nov 13, 2024 (499 days) · RIA to a state-registered adviser
W••••••• W••••• M••••••••• L•• to O•••••••• F•••••••• S••••••• L••
left Oct 5, 2022, registered Jul 7, 2022 (-90 days) · Other · moved with a team
W•••• F•••• A••••••• to W••••••• W••••• M••••••••• L••
left Jul 3, 2018, registered Feb 14, 2019 (226 days) · Other
W•••••• • R••• to W•••• F•••• A•••••••
left Nov 24, 2015, registered Nov 16, 2015 (-8 days) · Other

Signals

D••••• E••• M•••• left O•••••••• F•••••••• S••••••• L•• for F•••••••• O••••••••• L•• (registered 2024-11-13)
Jul 3, 2023 · Advisor changed firm · fact
D••••• E••• M•••• left W••••••• W••••• M••••••••• L•• for O•••••••• F•••••••• S••••••• L•• (registered 2022-07-07)
Oct 5, 2022 · 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: STATE REGISTEREDderived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address