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

B•••• L• C••••••

S•••••••• A••••••• L••national BDSanford, Nc dual registrantIAPD 2175170

Feed of 09/14/2026

Also filed as B•••• L C••••••

At current firm

1 y

since Mar 31, 2025

In the industry

32 y

since Jan 27, 1994 (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

S•••••••• A••••••• L•• national BD current
since Mar 31, 2025 · Sanford, Nc
F••••••• P••••••• A•• W•••••••• A••••••• former
Dec 8, 2021 to Mar 31, 2025 · Durham, Nc
M•• I•••••••• S•••••••• L•• BD affiliated
Aug 4, 2021 to Oct 19, 2021 · Raleigh, Nc
M••••• O• O•••• I••••••• S•••••••• I••• independent RIA
Jun 7, 2019 to Jun 18, 2021 · Charlotte, Nc
P•••• S••••••••• L•• no RAUM
Jun 13, 2014 to Apr 29, 2019 · Charlotte, Nc
T••••••• I••••••••• M••••••••• I••• BD affiliated
Nov 20, 2006 to Jun 13, 2014 · Raleigh, Nc
E•••••••• A•••••••• L•• national BD
Aug 30, 2006 to Nov 13, 2006 · Chester, Nj
W•••••• • R••• former
Jun 6, 2006 to Aug 18, 2006 · Morristown, Nj
F•••• M•••••• S••••••••• C•••• unclassified
Jun 3, 2004 to May 26, 2006 · Landing, Nj
M•••••• I••••••••• F••• S••••••• L•• unclassified
Jan 14, 2003 to Aug 5, 2003 · Woodbridge, Nj

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
M•• I•••••••• S•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Oct 19, 2021, registered Dec 8, 2021 (50 days) · Affiliated broker-dealer or bank to another
M••••• O• O•••• I••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••
left Jun 18, 2021, registered Aug 4, 2021 (47 days) · Other
P•••• S••••••••• L•• to M••••• O• O•••• I••••••• S•••••••• I•••
left Apr 29, 2019, registered Jun 7, 2019 (39 days) · Other
T••••••• I••••••••• M••••••••• I••• to P•••• S••••••••• L••
left Jun 13, 2014, registered Jun 13, 2014 (0 days) · Other
E•••••••• A•••••••• L•• to T••••••• I••••••••• M••••••••• I•••
left Nov 13, 2006, registered Nov 20, 2006 (7 days) · Other
W•••••• • R••• to E•••••••• A•••••••• L••
left Aug 18, 2006, registered Aug 30, 2006 (12 days) · Other
F•••• M•••••• S••••••••• C•••• to W•••••• • R•••
left May 26, 2006, registered Jun 6, 2006 (11 days) · Other
M•••••• I••••••••• F••• S••••••• L•• to F•••• M•••••• S••••••••• C••••
left Aug 5, 2003, registered Jun 3, 2004 (303 days) · Other

Signals

No dated event on this person.

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: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address