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

V•••• T• T•••••••• L••••••

M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseHigh Point, Ncdual registrantIAPD 2521460

Feed of 09/14/2026

Also filed as V•••• T L••••••

At current firm

15 y

since Oct 4, 2010

In the industry

29 y

since Oct 14, 1996 (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

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse current
since Oct 4, 2010 · High Point, Nc
M••••• S•••••• wirehouse
Jun 1, 2009 to Oct 29, 2010 · Winston-Salem, Nc
C•••••••• G••••• M•••••• I••• BD affiliated
Feb 21, 2006 to Jun 1, 2009 · Winston-Salem, Nc
L••• M•••• W••• W•••••• I••••••••• unclassified
Nov 4, 2002 to Feb 21, 2006 · Winston Salem, Nc
S•••• • S••••••••• L•• former
Mar 29, 1999 to Nov 15, 2002 · Winston-Salem, Nc

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 29, 2010, registered Oct 4, 2010 (-25 days) · Wirehouse to wirehouse
C•••••••• G••••• M•••••• I••• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••
left Feb 21, 2006, registered Feb 21, 2006 (0 days) · corporate re-registration, not a move
S•••• • S••••••••• L•• to L••• M•••• W••• W•••••• I•••••••••
left Nov 15, 2002, registered Nov 4, 2002 (-11 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: Wirehousederived
Years in industry: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address