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

D•••••• M•••••

C••••• I••••••••• A••••••• L••BD affiliatedHuntersville, Ncdual registrantIAPD 1697807

Certified Financial Planner · Chartered Financial Consultant

Feed of 09/14/2026

Also filed as D•••••• Gregg M•••••

At current firm

1 y

since Sep 5, 2025

In the industry

20 y

since Aug 1, 2006 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••• I••••••••• A••••••• L•• BD affiliated current
since Sep 5, 2025 · Huntersville, Nc
A•••••• A••••••• S••••••• former
Nov 27, 2023 to Sep 5, 2025 · Dallas, Tx
S••••••• C••••••••• L•• former
Apr 29, 2022 to May 3, 2023 · Huntersville, Nc
A••• I••••• A••••••• independent RIA
Aug 17, 2021 to Apr 11, 2022 · Charlotte, Nc
F••••••• P••••••• A•• W•••••••• A••••••• former
Jul 10, 2019 to Mar 5, 2020 · Charlotte, Nc
C••• F•••••••• S•••••••• L••• former
Feb 5, 2018 to Jun 14, 2019 · Huntersville, Nc
A••••• A•• P••••••• S••••••• BD affiliated
Nov 7, 2006 to Apr 12, 2017 · Charlotte, Nc

Moves

a registration end followed by a registration begin elsewhere

A•••••• A••••••• S••••••• to C••••• I••••••••• A••••••• L••
left Sep 5, 2025, registered Sep 5, 2025 (0 days) · corporate re-registration, not a move
S••••••• C••••••••• L•• to A•••••• A••••••• S•••••••
left May 3, 2023, registered Nov 27, 2023 (208 days) · RIA to affiliated broker-dealer or bank
A••• I••••• A••••••• to S••••••• C••••••••• L••
left Apr 11, 2022, registered Apr 29, 2022 (18 days) · RIA to RIA
F••••••• P••••••• A•• W•••••••• A••••••• to A••• I••••• A•••••••
left Mar 5, 2020, registered Aug 17, 2021 (530 days) · Affiliated broker-dealer or bank to independent RIA
C••• F•••••••• S•••••••• L••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jun 14, 2019, registered Jul 10, 2019 (26 days) · Affiliated broker-dealer or bank to another
A••••• A•• P••••••• S••••••• to C••• F•••••••• S•••••••• L•••
left Apr 12, 2017, registered Feb 5, 2018 (299 days) · Other

Signals

D•••••• M••••• left S••••••• C••••••••• L•• for A•••••• A••••••• S••••••• (registered 2023-11-27)
May 3, 2023 · Advisor changed firm · fact
D•••••• M••••• left A••• I••••• A••••••• for S••••••• C••••••••• L•• (registered 2022-04-29)
Apr 11, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address