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•••• R•••

T••••••••• L••independent RIARaleigh, NcIA-onlyIAPD 1012842

Feed of 09/14/2026

At current firm

4 y

since Feb 4, 2022

In the industry

44 y

since Jul 30, 1982 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

T••••••••• L•• independent RIA current
since Feb 4, 2022 · Raleigh, Nc
W•••• F•••• A••••••• wirehouse
Aug 3, 2010 to Jan 26, 2022 · Burlington, Nc
M••••• S•••••• wirehouse
Jun 1, 2009 to Aug 27, 2010 · Greensboro, Nc
C•••••••• G••••• M•••••• I••• BD affiliated
Jul 2, 2004 to Jun 1, 2009 · Greensboro, Nc
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Sep 12, 2002 to Jul 7, 2004 · Burlington, Nc

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to T••••••••• L••
left Jan 26, 2022, registered Feb 4, 2022 (9 days) · Wirehouse to independent RIA · moved with a team
M••••• S•••••• to W•••• F•••• A•••••••
left Aug 27, 2010, registered Aug 3, 2010 (-24 days) · Wirehouse to wirehouse
C•••••••• G••••• M•••••• I••• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••
left Jul 7, 2004, registered Jul 2, 2004 (-5 days) · Other

Signals

S•••••• M•••• R••• left W•••• F•••• A••••••• for T••••••••• L•• (registered 2022-02-04)
Jan 26, 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: Independent wealth managerderived
Years in industry: 44derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address