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

S•••• A•• S••••••

M••••••• W••••• A••••••• G••••• L••state registeredAtlanta, GaIA-onlyIAPD 6481452

Certified Financial Planner

Feed of 09/14/2026

At current firm

1 y

since May 1, 2025

In the industry

11 y

since Aug 1, 2015 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M••••••• W••••• A••••••• G••••• L•• state registered current
since May 1, 2025 · Atlanta, Ga
O••••• F•••••••• G••••• L•• independent RIA
Feb 23, 2023 to Oct 11, 2024 · Carmel, In
C•••••• W••••• M••••••••• L•• independent RIA
May 13, 2019 to Aug 1, 2022 · Atlanta, Ga
J••• M••••• S••••••••• L•• wirehouse
Oct 2, 2017 to Oct 11, 2018 · Atlanta, Ga
U•• F•••••••• S••••••• I••• wirehouse
Oct 4, 2016 to Aug 25, 2017 · Atlanta, Ga

Moves

a registration end followed by a registration begin elsewhere

O••••• F•••••••• G••••• L•• to M••••••• W••••• A••••••• G••••• L••
left Oct 11, 2024, registered May 1, 2025 (202 days) · RIA to a state-registered adviser
C•••••• W••••• M••••••••• L•• to O••••• F•••••••• G••••• L••
left Aug 1, 2022, registered Feb 23, 2023 (206 days) · RIA to RIA
J••• M••••• S••••••••• L•• to C•••••• W••••• M••••••••• L••
left Oct 11, 2018, registered May 13, 2019 (214 days) · Wirehouse to independent RIA
U•• F•••••••• S••••••• I••• to J••• M••••• S••••••••• L••
left Aug 25, 2017, registered Oct 2, 2017 (38 days) · Wirehouse to wirehouse

Signals

S•••• A•• S•••••• left O••••• F•••••••• G••••• L•• for M••••••• W••••• A••••••• G••••• L•• (registered 2025-05-01)
Oct 11, 2024 · Advisor changed firm · fact
S•••• A•• S•••••• left C•••••• W••••• M••••••••• L•• for O••••• F•••••••• G••••• L•• (registered 2023-02-23)
Aug 1, 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