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••••• O••••• C•••••••

R•••••• J•••• • A••••••••• I•••national BDWinston-Salem, Ncdual registrantIAPD 2775859

Feed of 09/14/2026

Also filed as R••••• C•••••••

At current firm

10 y

since Sep 6, 2016

In the industry

29 y

since Sep 27, 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

R•••••• J•••• • A••••••••• I••• national BD current
since Sep 6, 2016 · Winston-Salem, Nc
D••••••• B••• S••••••••• I••• no RAUM
Jul 29, 2011 to Sep 6, 2016 · Winston-Salem, Nc
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 23, 2009 to Aug 2, 2011 · Winston-Salem, Nc
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Dec 1, 2006 to Oct 23, 2009 · Winston-Salem, Nc
W•••• F•••• A••••••• wirehouse
Jun 9, 2005 to Dec 6, 2006 · Winston-Salem, Nc
F•••• C••••••• I••••••• S•••••••• I••• BD affiliated
Mar 11, 2003 to Jun 6, 2005 · Greensboro, Nc
U•••• F•••••••• S••••••• G••••• I••• unclassified
Aug 20, 2002 to Mar 13, 2003 · Charlotte, Nc
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jun 25, 2002 to Aug 23, 2002 · Spartanburg, Sc

Moves

a registration end followed by a registration begin elsewhere

D••••••• B••• S••••••••• I••• to R•••••• J•••• • A••••••••• I•••
left Sep 6, 2016, registered Sep 6, 2016 (0 days) · corporate re-registration, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to D••••••• B••• S••••••••• I•••
left Aug 2, 2011, registered Jul 29, 2011 (-4 days) · Other
B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
W•••• F•••• A••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Dec 6, 2006, registered Dec 1, 2006 (-5 days) · Other
F•••• C••••••• I••••••• S•••••••• I••• to W•••• F•••• A•••••••
left Jun 6, 2005, registered Jun 9, 2005 (3 days) · Other
U•••• F•••••••• S••••••• G••••• I••• to F•••• C••••••• I••••••• S•••••••• I•••
left Mar 13, 2003, registered Mar 11, 2003 (-2 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•••• F•••••••• S••••••• G••••• I•••
left Aug 23, 2002, registered Aug 20, 2002 (-3 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: National broker-dealer RIAderived
Years in industry: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address