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

T•••••• P••• P•••••••••

S•••••• P••••••• I••••••••• A•••••••• L••BD affiliatedCharlotte, Nc dual registrantIAPD 2227106

Feed of 09/15/2026

Also filed as T•••••• P•••••••••

At current firm

2 y

since Apr 14, 2024

In the industry

34 y

since Apr 20, 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

S•••••• P••••••• I••••••••• A•••••••• L•• BD affiliated current
since Apr 14, 2024 · Stamford, Ct
E••• W••••• M••••••••• L••••• former
Mar 24, 2024 to Jan 28, 2025 · Southern Shores, Nc
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Jul 12, 2019 to Mar 15, 2024 · Charlotte, Nc
E••••• J•••• national BD
Jan 26, 2007 to Jul 12, 2019 · Mooresville, Nc

Moves

a registration end followed by a registration begin elsewhere

E••• W••••• M••••••••• L••••• to S•••••• P••••••• I••••••••• A•••••••• L••
left Jan 28, 2025, registered Apr 14, 2024 (-289 days) · RIA to affiliated broker-dealer or bank
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to E••• W••••• M••••••••• L•••••
left Mar 15, 2024, registered Mar 24, 2024 (9 days) · Affiliated broker-dealer or bank to independent RIA
E••••• J•••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Jul 12, 2019, registered Jul 12, 2019 (0 days) · Affiliated broker-dealer or bank to another

Signals

T•••••• P••• P••••••••• left E••• W••••• M••••••••• L••••• for S•••••• P••••••• I••••••••• A•••••••• L•• (registered 2024-04-14)
Jan 28, 2025 · Advisor changed firm · fact
T•••••• P••• P••••••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for E••• W••••• M••••••••• L••••• (registered 2024-03-24)
Mar 15, 2024 · 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: 34derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address