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

S••••• P••••••

S•••••••• A••••••• L••national BDWaxhaw, Ncdual registrantIAPD 2793596

Feed of 09/14/2026

Also filed as S••••• Denise P••••••

At current firm

1 y

since Aug 26, 2025

In the industry

29 y

since Jun 25, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••••• A••••••• L•• national BD current
since Aug 26, 2025 · Waxhaw, Nc
A••••• A•• P••••••• S••••••• BD affiliated
Oct 22, 2013 to Oct 14, 2024 · Charlotte, Nc
W•••• F•••• A••••••• wirehouse
Jan 19, 2010 to Jun 10, 2013 · Charlotte, Nc
E•••••••• I••••••••• M••••••••• C• unclassified
May 15, 2009 to Dec 31, 2009 · Boston, Ma
T• A••••••••• I••••••••• M••••••••• L•• former
Mar 15, 2007 to Aug 23, 2007 · Charlotte, Nc
T• A••••••••• I••• former
Mar 15, 2007 to Aug 23, 2007 · Charlotte, Nc
S•••••••• A••••••• L•• national BD
Jan 14, 2003 to Jul 7, 2006 · Charlotte, Nc

Moves

a registration end followed by a registration begin elsewhere

A••••• A•• P••••••• S••••••• to S•••••••• A••••••• L••
left Oct 14, 2024, registered Aug 26, 2025 (316 days) · Affiliated broker-dealer or bank to another
W•••• F•••• A••••••• to A••••• A•• P••••••• S•••••••
left Jun 10, 2013, registered Oct 22, 2013 (134 days) · Other
E•••••••• I••••••••• M••••••••• C• to W•••• F•••• A•••••••
left Dec 31, 2009, registered Jan 19, 2010 (19 days) · Other
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Aug 23, 2007, registered Mar 15, 2007 (-161 days) · Other
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Aug 23, 2007, registered Mar 15, 2007 (-161 days) · channel change inside one enterprise, not a move
S•••••••• A••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••
left Jul 7, 2006, registered Mar 15, 2007 (251 days) · Other

Signals

S••••• P•••••• left A••••• A•• P••••••• S••••••• for S•••••••• A••••••• L•• (registered 2025-08-26)
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: 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