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

S•••••• E••••• W•••••

••••••••independent RIACharlotte, Nc dual registrantIAPD 2371673

Chartered Financial Analyst

Feed of 09/14/2026

Also filed as S•••••• E••••• W•••••

At current firm

1 y

since Jan 10, 2025

In the industry

33 y

since Aug 25, 1993 (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

•••••••• independent RIA current
since Jan 10, 2025 · Charlotte, Nc
W•••• F•••• A••••••• wirehouse
Feb 1, 2021 to Jan 15, 2025 · Charlotte, Nc
Q••••• O•• A••••••• former
Sep 3, 2009 to Mar 18, 2014 · Charlotte, Nc
C•••••• G••••••• W••••• M••••••••• L•• former
Jun 10, 2009 to Sep 3, 2009 · Miami, Fl
S••••••• G•••• C•••••• unclassified
Oct 22, 2008 to Mar 13, 2009 · Charlotte, Nc
W•••• F•••• A••••••• wirehouse
Aug 8, 2002 to Mar 16, 2004 · Charlotte, Nc

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to ••••••••
left Jan 15, 2025, registered Jan 10, 2025 (-5 days) · Wirehouse to independent RIA · moved with a team
Q••••• O•• A••••••• to W•••• F•••• A•••••••
left Mar 18, 2014, registered Feb 1, 2021 (2512 days) · Other
C•••••• G••••••• W••••• M••••••••• L•• to Q••••• O•• A•••••••
left Sep 3, 2009, registered Sep 3, 2009 (0 days) · Other
S••••••• G•••• C•••••• to C•••••• G••••••• W••••• M••••••••• L••
left Mar 13, 2009, registered Jun 10, 2009 (89 days) · Other
W•••• F•••• A••••••• to S••••••• G•••• C••••••
left Mar 16, 2004, registered Oct 22, 2008 (1681 days) · Other

Signals

S•••••• E••••• W••••• left W•••• F•••• A••••••• for &Partners (registered 2025-01-10)
Jan 15, 2025 · 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: 33derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address