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

L•••• P•••••

S••••• W••••• A•••••••• I•••no RAUMAtlanta, Gadual registrantIAPD 7076864

Feed of 09/14/2026

Also filed as L•••• P•••••

At current firm

1 y

since Apr 29, 2025

In the industry

15 y

since Aug 1, 2011 (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 Apr 29, 2025 · Atlanta, Ga
J••• M••••• S••••••••• L•• wirehouse
Aug 1, 2022 to Apr 8, 2025 · Atlanta, Ga
E•••••• C•••••• M••••••••• L•• former
Nov 22, 2021 to Jun 24, 2022 · Alpharetta, Ga
F••••••• P••••••• A•• W•••••••• A••••••• former
Apr 16, 2020 to Nov 17, 2021 · Dunwoody, Ga
E••••• J•••• national BD
May 15, 2019 to Feb 20, 2020 · Flowery Branch, Ga

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• S••••••••• L•• to S••••• W••••• A•••••••• I•••
left Apr 8, 2025, registered Apr 29, 2025 (21 days) · Other · moved with a team
E•••••• C•••••• M••••••••• L•• to J••• M••••• S••••••••• L••
left Jun 24, 2022, registered Aug 1, 2022 (38 days) · RIA to wirehouse
F••••••• P••••••• A•• W•••••••• A••••••• to E•••••• C•••••• M••••••••• L••
left Nov 17, 2021, registered Nov 22, 2021 (5 days) · Affiliated broker-dealer or bank to independent RIA
E••••• J•••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Feb 20, 2020, registered Apr 16, 2020 (56 days) · Affiliated broker-dealer or bank to another · moved with a team

Signals

L•••• P••••• left J••• M••••• S••••••••• L•• for S••••• W••••• A•••••••• I••• (registered 2025-04-29)
Apr 8, 2025 · Advisor changed firm · fact
L•••• P••••• left E•••••• C•••••• M••••••••• L•• for J••• M••••• S••••••••• L•• (registered 2022-08-01)
Jun 24, 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: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address