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••••• C•••• M•••••

S••••• W••••• A•••••••• I•••no RAUMAtlanta, Gadual registrantIAPD 6667404

Feed of 09/14/2026

Also filed as S••••• C M•••••

At current firm

1 y

since Jan 22, 2025

In the industry

13 y

since Aug 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

S••••• W••••• A•••••••• I••• no RAUM current
since Jan 22, 2025 · Atlanta, Ga
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 11, 2022 to Sep 5, 2024 · Plantation, Fl
N••• C••••••••• BD affiliated
Jan 4, 2021 to Mar 15, 2022 · Boca Raton, Fl
J••• M••••• S••••••••• L•• wirehouse
Mar 29, 2019 to Sep 17, 2020 · Surfside, Fl

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S••••• W••••• A•••••••• I•••
left Sep 5, 2024, registered Jan 22, 2025 (139 days) · Other
N••• C••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Mar 15, 2022, registered Oct 11, 2022 (210 days) · Affiliated broker-dealer or bank to wirehouse
J••• M••••• S••••••••• L•• to N••• C•••••••••
left Sep 17, 2020, registered Jan 4, 2021 (109 days) · Wirehouse to affiliated broker-dealer or bank

Signals

S••••• C•••• M••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for S••••• W••••• A•••••••• I••• (registered 2025-01-22)
Sep 5, 2024 · Advisor changed firm · fact
S••••• C•••• M••••• left N••• C••••••••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-10-11)
Mar 15, 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: No RAUM reportedderived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address