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.

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Registered advisor

R••••• L•••• G••••••

I• F•••••••• A••••••• S••••••• L••independent RIACharlotte, Nc IA-onlyIAPD 2131726

Chartered Financial Consultant

Feed of 09/15/2026

Also filed as Bob Gardner

At current firm

0 y

since Jan 20, 2026

In the industry

35 y

since Mar 28, 1991 (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

I• F•••••••• A••••••• S••••••• L•• independent RIA current
since Jan 20, 2026 · Charlotte, Nc
G••••••• A•••••••• L•• independent RIA
Apr 23, 2025 to Jan 20, 2026 · Greenville, Sc
I• F•••••••• A••••••• S••••••• L•• independent RIA
Mar 2, 2023 to Jun 10, 2025 · Charlotte, Nc
W•• A•••••••• L•• unclassified
Oct 3, 2008 to Feb 1, 2023 · Bluffton, Sc
E••••••• I••••••••• A•••••••• L•• unclassified
Jun 2, 2008 to Oct 3, 2008 · Hilton Head Island, Sc
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Feb 27, 2007 to Jun 27, 2008 · Hilton Head Island, Sc
S•• A•••••••• I••• former
Sep 30, 2004 to Feb 27, 2007 · Bluffton, Sc
U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIA
Oct 3, 2002 to Sep 30, 2004 · Frederick, Md

Moves

a registration end followed by a registration begin elsewhere

G••••••• A•••••••• L•• to I• F•••••••• A••••••• S••••••• L••
left Jan 20, 2026, registered Jan 20, 2026 (0 days) · RIA to RIA
I• F•••••••• A••••••• S••••••• L•• to G••••••• A•••••••• L••
left Jun 10, 2025, registered Apr 23, 2025 (-48 days) · RIA to RIA
W•• A•••••••• L•• to I• F•••••••• A••••••• S••••••• L••
left Feb 1, 2023, registered Mar 2, 2023 (29 days) · Other
E••••••• I••••••••• A•••••••• L•• to W•• A•••••••• L••
left Oct 3, 2008, registered Oct 3, 2008 (0 days) · Other
C•••••••• I••••••••• R••••••• A•••••••• I••• to E••••••• I••••••••• A•••••••• L••
left Jun 27, 2008, registered Jun 2, 2008 (-25 days) · Other
S•• A•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Feb 27, 2007, registered Feb 27, 2007 (0 days) · Other
U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• to S•• A•••••••• I•••
left Sep 30, 2004, registered Sep 30, 2004 (0 days) · Other

Signals

R••••• L•••• G•••••• left G••••••• A•••••••• L•• for I• F•••••••• A••••••• S••••••• L•• (registered 2026-01-20)
Jan 20, 2026 · Advisor changed firm · fact
R••••• L•••• G•••••• left I• F•••••••• A••••••• S••••••• L•• for G••••••• A•••••••• L•• (registered 2025-04-23)
Jun 10, 2025 · Advisor changed firm · fact
R••••• L•••• G•••••• left W•• A•••••••• L•• for I• F•••••••• A••••••• S••••••• L•• (registered 2023-03-02)
Feb 1, 2023 · 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: 35derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address