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•••••• M•••••••••

T•••• F•••••••• P••••••• L••state registeredHarvest, AlIA-onlyIAPD 6921757

Certified Financial Planner

Feed of 09/14/2026

At current firm

1 y

since May 13, 2025

In the industry

12 y

since Sep 1, 2014 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

T•••• F•••••••• P••••••• L•• state registered current
since May 13, 2025 · Harvest, Al
E••••••••• independent RIA
Feb 27, 2025 to Apr 2, 2025 · Austin, Tx
D•• W••••• M••••••••• independent RIA
Sep 22, 2023 to Feb 19, 2025 · Scottsdale, Az
I••••••• I••••••••• C••••••• L•• independent RIA
May 15, 2023 to Nov 28, 2023 · Scottsdale, Az
M••••• S•••••• wirehouse
Mar 5, 2020 to Nov 12, 2020 · Gilbert, Az

Moves

a registration end followed by a registration begin elsewhere

E••••••••• to T•••• F•••••••• P••••••• L••
left Apr 2, 2025, registered May 13, 2025 (41 days) · RIA to a state-registered adviser
D•• W••••• M••••••••• to E•••••••••
left Feb 19, 2025, registered Feb 27, 2025 (8 days) · RIA to RIA
I••••••• I••••••••• C••••••• L•• to D•• W••••• M•••••••••
left Nov 28, 2023, registered Sep 22, 2023 (-67 days) · RIA to RIA
M••••• S•••••• to I••••••• I••••••••• C••••••• L••
left Nov 12, 2020, registered May 15, 2023 (914 days) · Wirehouse to independent RIA

Signals

S•••••• M••••••••• left Entrewealth for T•••• F•••••••• P••••••• L•• (registered 2025-05-13)
Apr 2, 2025 · Advisor changed firm · fact
S•••••• M••••••••• left D•• W••••• M••••••••• for Entrewealth (registered 2025-02-27)
Feb 19, 2025 · Advisor changed firm · fact
S•••••• M••••••••• left I••••••• I••••••••• C••••••• L•• for D•• W••••• M••••••••• (registered 2023-09-22)
Nov 28, 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: STATE REGISTEREDderived
Years in industry: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address