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

J•••• H••••• T•••••

C••••• I••••••••• A••••••• L••BD affiliatedSouthern Pines, Nc dual registrantIAPD 1739329

Certified Financial Planner

Feed of 09/15/2026

At current firm

0 y

since Jun 3, 2026

In the industry

38 y

since Feb 9, 1988 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

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 Jun 3, 2026 · Durham, Nc
C••••••••• F•••••••• N•••••• national BD
Feb 15, 2013 to Jun 3, 2026 · Southern Pines, Nc
M••••• S•••••• wirehouse
Jun 1, 2009 to Mar 5, 2013 · Durham, Nc
C•••••••• G••••• M•••••• I••• BD affiliated
Oct 9, 2006 to Jun 1, 2009 · Durham, Nc
U•• F•••••••• S••••••• I••• wirehouse
May 14, 2003 to Oct 16, 2006 · Chapel Hill, Nc

Moves

a registration end followed by a registration begin elsewhere

C••••••••• F•••••••• N•••••• to C••••• I••••••••• A••••••• L••
left Jun 3, 2026, registered Jun 3, 2026 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
M••••• S•••••• to C••••••••• F•••••••• N••••••
left Mar 5, 2013, registered Feb 15, 2013 (-18 days) · Wirehouse to affiliated broker-dealer or bank
C•••••••• G••••• M•••••• I••• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
U•• F•••••••• S••••••• I••• to C•••••••• G••••• M•••••• I•••
left Oct 16, 2006, registered Oct 9, 2006 (-7 days) · Other

Signals

J•••• H••••• T••••• left C••••••••• F•••••••• N•••••• for C••••• I••••••••• A••••••• L•• (registered 2026-06-03)
Jun 3, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 38derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address