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

M•••• A••••• L••••

A••••• A•• P••••••• S•••••••BD affiliatedCharlotte, Nc dual registrantIAPD 2631827

Feed of 09/15/2026

Also filed as M•••• A••••• Sexton

At current firm

0 y

since Jul 29, 2026

In the industry

31 y

since Jul 27, 1995 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S66, 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••••• A•• P••••••• S••••••• BD affiliated current
since Jul 29, 2026 · Charlotte, Nc
T•• I••••••••• A•••• M••••••••• L•• independent RIA
Jul 15, 2025 to Jul 7, 2026 · Portland, Or
M••••• S•••••• wirehouse
Feb 27, 2025 to May 28, 2025 · Washington, Dc
A••••• A•• P••••••• S••••••• BD affiliated
Apr 28, 2008 to Oct 14, 2024 · Charlotte, Nc
C•••••• S••••• • C••• I••• national BD
Oct 21, 2002 to Feb 26, 2003 · Charlotte, Nc
B••••••• C•••••• M••••••••• L•• former
Sep 9, 2002 to Oct 22, 2002 · Charlotte, Nc

Moves

a registration end followed by a registration begin elsewhere

T•• I••••••••• A•••• M••••••••• L•• to A••••• A•• P••••••• S•••••••
left Jul 7, 2026, registered Jul 29, 2026 (22 days) · RIA to affiliated broker-dealer or bank
M••••• S•••••• to T•• I••••••••• A•••• M••••••••• L••
left May 28, 2025, registered Jul 15, 2025 (48 days) · Wirehouse to independent RIA
A••••• A•• P••••••• S••••••• to M••••• S••••••
left Oct 14, 2024, registered Feb 27, 2025 (136 days) · Affiliated broker-dealer or bank to wirehouse
C•••••• S••••• • C••• I••• to A••••• A•• P••••••• S•••••••
left Feb 26, 2003, registered Apr 28, 2008 (1888 days) · Other
B••••••• C•••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
left Oct 22, 2002, registered Oct 21, 2002 (-1 days) · Other

Signals

M•••• A••••• L•••• left T•• I••••••••• A•••• M••••••••• L•• for A••••• A•• P••••••• S••••••• (registered 2026-07-29)
Jul 7, 2026 · Advisor changed firm · fact
M•••• A••••• L•••• left M••••• S•••••• for T•• I••••••••• A•••• M••••••••• L•• (registered 2025-07-15)
May 28, 2025 · Advisor changed firm · fact
M•••• A••••• L•••• left A••••• A•• P••••••• S••••••• for M••••• S•••••• (registered 2025-02-27)
Oct 14, 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: 31derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address