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

M•••••• C• S•••••••••

R•••••• J•••• • A••••••••• I•••national BDSt. Petersburg, Fldual registrantIAPD 7365595

Feed of 09/14/2026

Also filed as Carter S•••••••••

At current firm

0 y

since Sep 10, 2026

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

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

R•••••• J•••• • A••••••••• I••• national BD current
since Sep 10, 2026 · St. Petersburg, Fl
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Jul 9, 2025 to Sep 10, 2026 · Saint Petersburg, Fl
M•• I•••••••• S•••••••• L•• BD affiliated
May 14, 2024 to Apr 16, 2025 · Arvada, Co
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 16, 2022 to May 13, 2024 · Denver, Co
E•••••••• A•••••••• L•• national BD
Apr 6, 2022 to Oct 4, 2022 · Jacksonville, Fl

Moves

a registration end followed by a registration begin elsewhere

R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to R•••••• J•••• • A••••••••• I•••
left Sep 10, 2026, registered Sep 10, 2026 (0 days) · Affiliated broker-dealer or bank to another
M•• I•••••••• S•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Apr 16, 2025, registered Jul 9, 2025 (84 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•• I•••••••• S•••••••• L••
left May 13, 2024, registered May 14, 2024 (1 days) · Wirehouse to affiliated broker-dealer or bank
E•••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 4, 2022, registered Nov 16, 2022 (43 days) · Affiliated broker-dealer or bank to wirehouse

Signals

M•••••• C• S••••••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for R•••••• J•••• • A••••••••• I••• (registered 2026-09-10)
Sep 10, 2026 · Advisor changed firm · fact
M•••••• C• S••••••••• left M•• I•••••••• S•••••••• L•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2025-07-09)
Apr 16, 2025 · Advisor changed firm · fact
M•••••• C• S••••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for M•• I•••••••• S•••••••• L•• (registered 2024-05-14)
May 13, 2024 · Advisor changed firm · fact
M•••••• C• S••••••••• left E•••••••• A•••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-11-16)
Oct 4, 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: National broker-dealer RIAderived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address