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

R•••• L•• F•••••

O••••••• F•••••••• G••••• I•••independent RIAWilmington, NcIA-onlyIAPD 2674665

Certified Financial Planner

Feed of 09/14/2026

Also filed as R•••• L•• F•••••

At current firm

5 y

since Apr 9, 2021

In the industry

30 y

since Feb 1, 1996 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

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

O••••••• F•••••••• G••••• I••• independent RIA current
since Apr 9, 2021 · Wilmington, Nc
O••••••• F•••••••• G••••• I••• independent RIA
May 27, 2015 to Sep 2, 2020 · Wilmington, Nc
S•••••• N••••••• • C••••••• I••••••••• national BD
Jun 16, 2009 to Mar 1, 2010 · Charlotte, Nc
O••••••••• • C•• I••• BD affiliated
Mar 20, 2009 to Jul 6, 2009 · Charlotte, Nc
S••••••• G•••• C•••••• unclassified
Jan 2, 2008 to Mar 16, 2009 · Charlotte, Nc
W•••• F•••• A••••••• wirehouse
Jun 15, 2002 to Jan 7, 2008 · Charlotte, Nc

Moves

a registration end followed by a registration begin elsewhere

S•••••• N••••••• • C••••••• I••••••••• to O••••••• F•••••••• G••••• I•••
left Mar 1, 2010, registered May 27, 2015 (1913 days) · Other
O••••••••• • C•• I••• to S•••••• N••••••• • C••••••• I•••••••••
left Jul 6, 2009, registered Jun 16, 2009 (-20 days) · Other
S••••••• G•••• C•••••• to O••••••••• • C•• I•••
left Mar 16, 2009, registered Mar 20, 2009 (4 days) · Other
W•••• F•••• A••••••• to S••••••• G•••• C••••••
left Jan 7, 2008, registered Jan 2, 2008 (-5 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: Independent wealth managerderived
Years in industry: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address