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

T•••••• N••••• H•••

G•••••••• F•••••••• A•••••••• L••institutionalCharlotte, Ncdual registrantIAPD 2872168

Feed of 09/14/2026

At current firm

0 y

since Feb 11, 2026

In the industry

29 y

since May 13, 1997 (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

G•••••••• F•••••••• A•••••••• L•• institutional current
since Feb 11, 2026 · Charlotte, Nc
P••• A••••• S••••••••• L•• BD affiliated
Dec 12, 2024 to Feb 17, 2026 · Charlotte, Nc
M•• I•••••••• S•••••••• L•• BD affiliated
Jul 20, 2022 to Dec 10, 2024 · Charlotte, Nc
P••• A••••• S••••••••• L•• BD affiliated
May 8, 2014 to Jul 15, 2022 · Charlotte, Nc
N••••••••• M••••• I••••••••• S••••••••• no RAUM
Jul 11, 2008 to Oct 16, 2013 · Charlotte, Nc
C••••• A•••••• N••••••• L•• former
Apr 12, 2007 to Mar 11, 2008 · Charlotte, Nc
P••• A••••• S••••••••• L•• BD affiliated
Apr 1, 2004 to Apr 9, 2007 · Charlotte, Nc
C••• A••••••• S••••••• unclassified
Dec 31, 2000 to Apr 1, 2004 · Charlotte, Nc

Moves

a registration end followed by a registration begin elsewhere

P••• A••••• S••••••••• L•• to G•••••••• F•••••••• A•••••••• L••
left Feb 17, 2026, registered Feb 11, 2026 (-6 days) · Other
M•• I•••••••• S•••••••• L•• to P••• A••••• S••••••••• L••
left Dec 10, 2024, registered Dec 12, 2024 (2 days) · Affiliated broker-dealer or bank to another
P••• A••••• S••••••••• L•• to M•• I•••••••• S•••••••• L••
left Jul 15, 2022, registered Jul 20, 2022 (5 days) · Affiliated broker-dealer or bank to another
N••••••••• M••••• I••••••••• S••••••••• to P••• A••••• S••••••••• L••
left Oct 16, 2013, registered May 8, 2014 (204 days) · Other
C••••• A•••••• N••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••
left Mar 11, 2008, registered Jul 11, 2008 (122 days) · Other
P••• A••••• S••••••••• L•• to C••••• A•••••• N••••••• L••
left Apr 9, 2007, registered Apr 12, 2007 (3 days) · Other
C••• A••••••• S••••••• to P••• A••••• S••••••••• L••
left Apr 1, 2004, registered Apr 1, 2004 (0 days) · Other

Signals

T•••••• N••••• H••• left P••• A••••• S••••••••• L•• for G•••••••• F•••••••• A•••••••• L•• (registered 2026-02-11)
Feb 17, 2026 · a•••••• firm change · fact
T•••••• N••••• H••• left M•• I•••••••• S•••••••• L•• for P••• A••••• S••••••••• L•• (registered 2024-12-12)
Dec 10, 2024 · a•••••• firm change · fact
T•••••• N••••• H••• left P••• A••••• S••••••••• L•• for M•• I•••••••• S•••••••• L•• (registered 2022-07-20)
Jul 15, 2022 · a•••••• firm change · 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