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••••• D•••••• M•••••••

L•• E••••••••• L••BD affiliatedGreensboro, Ncdual registrantIAPD 1477871

Feed of 09/14/2026

Also filed as S••••• M•••••••

At current firm

1 y

since Nov 14, 2024

In the industry

40 y

since Mar 24, 1986 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• E••••••••• L•• BD affiliated current
since Nov 14, 2024 · Greensboro, Nc
P•••• S••••••••• L•• no RAUM
Nov 22, 2013 to Nov 14, 2024 · Charlotte, Nc
E•••• S••••••••• L•• BD affiliated
May 25, 2011 to Jun 5, 2013 · Raleigh, Nc
L•• F•••••••• L•• BD affiliated
May 26, 2004 to Apr 29, 2011 · Greensboro, Nc
W• G••••••• S••••••••• I••• unclassified
May 8, 2003 to Jun 3, 2004 · Greensboro, Nc
P•••• S••••••••• L•• no RAUM
May 22, 2001 to Feb 10, 2003 · Greensboro, Nc

Moves

a registration end followed by a registration begin elsewhere

P•••• S••••••••• L•• to L•• E••••••••• L••
left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
E•••• S••••••••• L•• to P•••• S••••••••• L••
left Jun 5, 2013, registered Nov 22, 2013 (170 days) · Other
L•• F•••••••• L•• to E•••• S••••••••• L••
left Apr 29, 2011, registered May 25, 2011 (26 days) · Other
W• G••••••• S••••••••• I••• to L•• F•••••••• L••
left Jun 3, 2004, registered May 26, 2004 (-8 days) · Other
P•••• S••••••••• L•• to W• G••••••• S••••••••• I•••
left Feb 10, 2003, registered May 8, 2003 (87 days) · Other

Signals

No dated event on this person.

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: Broker-dealer affiliated wealth managerderived
Years in industry: 40derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address