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

C•••••••• R• S•••••••••

U•• F•••••••• S••••••• I•••wirehouseColumbia, Scdual registrantIAPD 7158722

Feed of 09/14/2026

Also filed as Chance S•••••••••

At current firm

3 y

since Sep 8, 2023

In the industry

13 y

since Sep 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

U•• F•••••••• S••••••• I••• wirehouse current
since Sep 8, 2023 · Columbia, Sc
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jan 2, 2023 to Sep 11, 2023 · Columbia, Sc
C••••••••• F•••••••• N•••••• national BD
Feb 2, 2021 to Oct 31, 2022 · Columbia, Sc

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••
left Sep 11, 2023, registered Sep 8, 2023 (-3 days) · Wirehouse to wirehouse · moved with a team
C••••••••• F•••••••• N•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 31, 2022, registered Jan 2, 2023 (63 days) · Affiliated broker-dealer or bank to wirehouse

Signals

C•••••••• R• S••••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for U•• F•••••••• S••••••• I••• (registered 2023-09-08)
Sep 11, 2023 · Advisor changed firm · fact
C•••••••• R• S••••••••• left C••••••••• F•••••••• N•••••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2023-01-02)
Oct 31, 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: Wirehousederived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address