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

C•••••• W• S•••••

A••••••••• F•••••••• S•••••••• L••national BDCharlotte, Ncdual registrantIAPD 2145352

Certified Financial Planner

Feed of 09/14/2026

Also filed as Chaz Sleeth

At current firm

1 y

since Feb 11, 2025

In the industry

34 y

since Sep 11, 1992 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A••••••••• F•••••••• S•••••••• L•• national BD current
since Feb 11, 2025 · Charlotte, Nc
P•••••••• A•••••• S••••••• BD affiliated
Jun 25, 2024 to Jan 7, 2025 · Charlotte, Nc
P•••••••• S••••••••• I••• BD affiliated
Jul 8, 2022 to Nov 26, 2023 · Des Moines, Ia
W•••• F•••• A••••••• wirehouse
Nov 13, 2008 to Jun 8, 2022 · Charlotte, Nc
E•••••• C•••••• M••••••••• L•• former
Sep 4, 2002 to Dec 31, 2005 · Charlotte, Nc

Moves

a registration end followed by a registration begin elsewhere

P•••••••• A•••••• S••••••• to A••••••••• F•••••••• S•••••••• L••
left Jan 7, 2025, registered Feb 11, 2025 (35 days) · Affiliated broker-dealer or bank to another
P•••••••• S••••••••• I••• to P•••••••• A•••••• S•••••••
left Nov 26, 2023, registered Jun 25, 2024 (212 days) · Affiliated broker-dealer or bank to another · moved with a team
W•••• F•••• A••••••• to P•••••••• S••••••••• I•••
left Jun 8, 2022, registered Jul 8, 2022 (30 days) · Wirehouse to affiliated broker-dealer or bank
E•••••• C•••••• M••••••••• L•• to W•••• F•••• A•••••••
left Dec 31, 2005, registered Nov 13, 2008 (1048 days) · Other

Signals

C•••••• W• S••••• left P•••••••• A•••••• S••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2025-02-11)
Jan 7, 2025 · Advisor changed firm · fact
C•••••• W• S••••• left P•••••••• S••••••••• I••• for P•••••••• A•••••• S••••••• (registered 2024-06-25)
Nov 26, 2023 · Advisor changed firm · fact
C•••••• W• S••••• left W•••• F•••• A••••••• for P•••••••• S••••••••• I••• (registered 2022-07-08)
Jun 8, 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: National broker-dealer RIAderived
Years in industry: 34derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address