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

M••••• C•••• M••••

R•••••• J•••• • A••••••••• I•••national BDWinston Salem, Ncdual registrantIAPD 1820768

Certified Financial Planner

Feed of 09/14/2026

Also filed as M••••• C M••••

At current firm

0 y

since May 4, 2026

In the industry

38 y

since Jun 21, 1988 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, 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

R•••••• J•••• • A••••••••• I••• national BD current
since May 4, 2026 · Winston Salem, Nc
C••••• I••••••••• A••••••• L•• BD affiliated
Sep 5, 2025 to May 1, 2026 · Winston- Salem, Nc
A•••••• A••••••• S••••••• former
Mar 3, 2021 to Sep 5, 2025 · Winston- Salem, Nc
B••••••••• A•••• M••••••••• L•• asset manager
Jun 4, 2015 to Mar 2, 2021 · Winston Salem, Nc
B••••••••• W••••• A•••••••• L•• no RAUM
Apr 8, 2015 to Mar 2, 2021 · Winston Salem, Nc
A••••••• S••••••• N•••••• independent RIA
Jul 5, 2012 to Apr 17, 2015 · Winston Salem, Nc
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jun 16, 2006 to Jul 5, 2012 · High Point, Nc
U•• F•••••••• S••••••• I••• wirehouse
Apr 15, 2002 to Jul 10, 2006 · High Point, Nc

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to R•••••• J•••• • A••••••••• I•••
left May 1, 2026, registered May 4, 2026 (3 days) · Affiliated broker-dealer or bank to another · moved with a team
A•••••• A••••••• S••••••• to C••••• I••••••••• A••••••• L••
left Sep 5, 2025, registered Sep 5, 2025 (0 days) · corporate re-registration, not a move
B••••••••• A•••• M••••••••• L•• to A•••••• A••••••• S•••••••
left Mar 2, 2021, registered Mar 3, 2021 (1 days) · RIA to affiliated broker-dealer or bank
B••••••••• W••••• A•••••••• L•• to B••••••••• A•••• M••••••••• L••
left Mar 2, 2021, registered Jun 4, 2015 (-2098 days) · channel change inside one enterprise, not a move
A••••••• S••••••• N•••••• to B••••••••• W••••• A•••••••• L••
left Apr 17, 2015, registered Apr 8, 2015 (-9 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••• S••••••• N••••••
left Jul 5, 2012, registered Jul 5, 2012 (0 days) · Other
U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jul 10, 2006, registered Jun 16, 2006 (-24 days) · Wirehouse to wirehouse

Signals

M••••• C•••• M•••• left C••••• I••••••••• A••••••• L•• for R•••••• J•••• • A••••••••• I••• (registered 2026-05-04)
May 1, 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: National broker-dealer RIAderived
Years in industry: 38derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address