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•••• S•••• N•••••

C••••• I••••••••• A••••••• L••BD affiliatedJohns Island, Sc dual registrantIAPD 6889876

Feed of 09/15/2026

Also filed as S•••• Anne Plyler

At current firm

2 y

since Nov 22, 2023

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

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

C••••• I••••••••• A••••••• L•• BD affiliated current
since Nov 22, 2023 · Johns Island, Sc
R•••••• J•••• • A••••••••• I••• national BD
May 9, 2023 to Nov 7, 2023 · Charleston, Sc
C••••• I••••••••• A••••••• L•• BD affiliated
Oct 2, 2018 to Apr 14, 2023 · Concord, Nh
E••••• J•••• national BD
Jul 31, 2018 to Sep 7, 2018 · Canterbury, Nh
W•••••••• I••••••••• C••••••••• I••• independent RIA
Feb 10, 2018 to Apr 19, 2018 · Concord, Nh

Moves

a registration end followed by a registration begin elsewhere

R•••••• J•••• • A••••••••• I••• to C••••• I••••••••• A••••••• L••
left Nov 7, 2023, registered Nov 22, 2023 (15 days) · Affiliated broker-dealer or bank to another
C••••• I••••••••• A••••••• L•• to R•••••• J•••• • A••••••••• I•••
left Apr 14, 2023, registered May 9, 2023 (25 days) · Affiliated broker-dealer or bank to another
E••••• J•••• to C••••• I••••••••• A••••••• L••
left Sep 7, 2018, registered Oct 2, 2018 (25 days) · Affiliated broker-dealer or bank to another · moved with a team
W•••••••• I••••••••• C••••••••• I••• to E••••• J••••
left Apr 19, 2018, registered Jul 31, 2018 (103 days) · RIA to affiliated broker-dealer or bank

Signals

S•••• S•••• N••••• left R•••••• J•••• • A••••••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2023-11-22)
Nov 7, 2023 · Advisor changed firm · fact
S•••• S•••• N••••• left C••••• I••••••••• A••••••• L•• for R•••••• J•••• • A••••••••• I••• (registered 2023-05-09)
Apr 14, 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