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

C•••• E•••••• N••••••

C•••••••institutionalWilmington, Ncdual registrantIAPD 2792492

Feed of 09/14/2026

Also filed as C•••• E N••••••

At current firm

3 y

since Nov 8, 2022

In the industry

29 y

since Oct 31, 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

C••••••• institutional current
since Nov 8, 2022 · Wilmington, Nc
H•••••••• A•••••••• L•• BD affiliated
Oct 28, 2016 to Oct 28, 2022 · Wilmington, Nc
I••••••• P•••••••• I••• former
Oct 19, 2010 to Mar 21, 2017 · Wilmington, Nc
R•• C•••••• M••••••• L•• national BD
Mar 13, 2009 to Oct 7, 2010 · Wilmington, Nc
F•••••• B•••• W••••• L•• unclassified
Jun 2, 2006 to Mar 13, 2009 · Wilmington, Nc

Moves

a registration end followed by a registration begin elsewhere

H•••••••• A•••••••• L•• to C•••••••
left Oct 28, 2022, registered Nov 8, 2022 (11 days) · Other · moved with a team
I••••••• P•••••••• I••• to H•••••••• A•••••••• L••
left Mar 21, 2017, registered Oct 28, 2016 (-144 days) · Other · moved with a team
R•• C•••••• M••••••• L•• to I••••••• P•••••••• I•••
left Oct 7, 2010, registered Oct 19, 2010 (12 days) · Other
F•••••• B•••• W••••• L•• to R•• C•••••• M••••••• L••
left Mar 13, 2009, registered Mar 13, 2009 (0 days) · corporate re-registration, not a move

Signals

C•••• E•••••• N•••••• left H•••••••• A•••••••• L•• for Captrust (registered 2022-11-08)
Oct 28, 2022 · 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: Institutional managerderived
Years in industry: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address