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

R••••• F•••••• C••••

P•••••••• S••••••••• I•••BD affiliatedNorth Charleston, Scdual registrantIAPD 6933756

Feed of 09/14/2026

Also filed as R••••• C••••

At current firm

1 y

since Apr 8, 2025

In the industry

10 y

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

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

P•••••••• S••••••••• I••• BD affiliated current
since Apr 8, 2025 · North Charleston, Sc
W•••• F•••• A••••••• wirehouse
Jul 14, 2023 to Apr 15, 2025 · Charleston, Sc
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 21, 2022 to Jul 12, 2023 · Charlotte, Nc
C••••••• S••••••••• I••• BD affiliated
Oct 27, 2020 to Sep 30, 2022 · Hudson, Ma
M•• I•••••••• S•••••••• L•• BD affiliated
May 1, 2019 to Nov 5, 2020 · Glastonbury, Ct

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to P•••••••• S••••••••• I•••
left Apr 15, 2025, registered Apr 8, 2025 (-7 days) · Wirehouse to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••
left Jul 12, 2023, registered Jul 14, 2023 (2 days) · Wirehouse to wirehouse · moved with a team
C••••••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Sep 30, 2022, registered Nov 21, 2022 (52 days) · Affiliated broker-dealer or bank to wirehouse
M•• I•••••••• S•••••••• L•• to C••••••• S••••••••• I•••
left Nov 5, 2020, registered Oct 27, 2020 (-9 days) · Affiliated broker-dealer or bank to another

Signals

R••••• F•••••• C•••• left W•••• F•••• A••••••• for P•••••••• S••••••••• I••• (registered 2025-04-08)
Apr 15, 2025 · Advisor changed firm · fact
R••••• F•••••• C•••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for W•••• F•••• A••••••• (registered 2023-07-14)
Jul 12, 2023 · Advisor changed firm · fact
R••••• F•••••• C•••• left C••••••• S••••••••• I••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-11-21)
Sep 30, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address