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.
Registered advisor
Stuart Ray Gardner
Certified Financial Planner
Feed of 09/14/2026
At current firm
0 y
since May 1, 2026
In the industry
43 y
since Jul 22, 1983 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
5
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Independent Advisor Alliance, LLC independent RIA currentsince May 1, 2026 · Charlotte, Nc
- Charlotte Wealth Management, LLC unclassifiedJan 28, 2021 to May 15, 2026 · Charlotte, Nc
- Securities America Advisors, Inc. formerMar 31, 2009 to Apr 13, 2009 · Charlotte, Nc
- Ameriprise Advisor Services, Inc. unclassifiedJan 5, 2004 to Mar 31, 2009 · Charlotte, Nc
- Wells Fargo Advisors wirehouseDec 31, 2001 to Jan 14, 2004 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- Charlotte Wealth Management, LLC to Independent Advisor Alliance, LLCleft May 15, 2026, registered May 1, 2026 (-14 days) · Other · moved with a team
- Securities America Advisors, Inc. to Charlotte Wealth Management, LLCleft Apr 13, 2009, registered Jan 28, 2021 (4308 days) · Other
- Ameriprise Advisor Services, Inc. to Securities America Advisors, Inc.left Mar 31, 2009, registered Mar 31, 2009 (0 days) · Other
- Wells Fargo Advisors to Ameriprise Advisor Services, Inc.left Jan 14, 2004, registered Jan 5, 2004 (-9 days) · Other
Signals
- Stuart Ray Gardner left Charlotte Wealth Management, Llc for Independent Advisor Alliance, Llc (registered 2026-05-01)May 15, 2026 · 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
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address