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

W•••••• M•••••• M•••••••

L•• F•••••••• L••BD affiliatedCharlotte, Ncdual registrantIAPD 2976355

Certified Financial Planner

Feed of 09/14/2026

Also filed as Bill M•••••••

At current firm

0 y

since Sep 1, 2026

In the industry

28 y

since Nov 18, 1997 (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

L•• F•••••••• L•• BD affiliated current
since Sep 1, 2026 · Charlotte, Nc
A••••••••• F•••••••• S•••••••• L•• national BD
Mar 30, 2022 to Sep 2, 2026 · Charlotte, Nc
K••••• A••••••• S•••••••• L•• BD affiliated
Oct 27, 2017 to Mar 31, 2022 · Charlotte, Nc
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• former
Jan 21, 2014 to Nov 1, 2017 · Charlotte, Nc
L•• F•••••••• L•• BD affiliated
Sep 17, 2009 to Feb 3, 2014 · Charlotte, Nc
J••••• H•••••••• W••• L••••• L•• former
Oct 25, 2005 to Sep 16, 2009 · Charlotte, Nc
E•••••• A••••••• S•••••••• I••• unclassified
May 30, 2002 to Jun 7, 2002 · Hiram, Ga

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••
left Sep 2, 2026, registered Sep 1, 2026 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
K••••• A••••••• S•••••••• L•• to A••••••••• F•••••••• S•••••••• L••
left Mar 31, 2022, registered Mar 30, 2022 (-1 days) · Affiliated broker-dealer or bank to another
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to K••••• A••••••• S•••••••• L••
left Nov 1, 2017, registered Oct 27, 2017 (-5 days) · Other
L•• F•••••••• L•• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••
left Feb 3, 2014, registered Jan 21, 2014 (-13 days) · Other
J••••• H•••••••• W••• L••••• L•• to L•• F•••••••• L••
left Sep 16, 2009, registered Sep 17, 2009 (1 days) · Other
E•••••• A••••••• S•••••••• I••• to J••••• H•••••••• W••• L••••• L••
left Jun 7, 2002, registered Oct 25, 2005 (1236 days) · Other

Signals

W•••••• M•••••• M••••••• left A••••••••• F•••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2026-09-01)
Sep 2, 2026 · Advisor changed firm · fact
W•••••• M•••••• M••••••• left K••••• A••••••• S•••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-03-30)
Mar 31, 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: 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