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

N••••• S•••• S••••••

O•••• W•••••• I•••BD affiliatedPiedmont, Sc dual registrantIAPD 2944988

Certified Financial Planner

Feed of 09/15/2026

Also filed as N••••• S••••••

At current firm

0 y

since Nov 26, 2025

In the industry

28 y

since Oct 15, 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

O•••• W•••••• I••• BD affiliated current
since Nov 26, 2025 · Greenwood, Sc
C••••• I••••••••• A••••••• L•• BD affiliated
Jun 29, 2023 to Dec 2, 2025 · Greenville, Sc
C••••• A•••••• N••••••• L•• former
Jun 9, 2021 to Jun 29, 2023 · Greenwood, Sc
V••• F•••••••• A•••••••• I••• BD affiliated
May 26, 2017 to Jun 9, 2021 · Greenwood, Sc
W•••• F•••• A••••••• wirehouse
Jun 30, 2000 to Jun 1, 2017 · Greenville, Sc

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to O•••• W•••••• I•••
left Dec 2, 2025, registered Nov 26, 2025 (-6 days) · Affiliated broker-dealer or bank to another · moved with a team
C••••• A•••••• N••••••• L•• to C••••• I••••••••• A••••••• L••
left Jun 29, 2023, registered Jun 29, 2023 (0 days) · corporate re-registration, not a move
V••• F•••••••• A•••••••• I••• to C••••• A•••••• N••••••• L••
left Jun 9, 2021, registered Jun 9, 2021 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
W•••• F•••• A••••••• to V••• F•••••••• A•••••••• I•••
left Jun 1, 2017, registered May 26, 2017 (-6 days) · Other · moved with a team

Signals

N••••• S•••• S•••••• left C••••• I••••••••• A••••••• L•• for O•••• W•••••• I••• (registered 2025-11-26)
Dec 2, 2025 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address