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

L••• S• S••••

I••••••••• A•••••• A•••••••• L••i••••••••• wealthClemmons, Ncdual registrantIAPD 3042003

Feed of 09/14/2026

Also filed as Lori S Sluder

At current firm

1 y

since Feb 3, 2025

In the industry

28 y

since Jun 3, 1998 (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

I••••••••• A•••••• A•••••••• L•• i••••••••• wealth current
since Feb 3, 2025 · Clemmons, Nc
F••••••• P••••••• A•• W•••••••• A••••••• former
Mar 10, 2023 to Nov 19, 2024 · Winston-Salem, Nc
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jan 26, 2022 to Jul 8, 2022 · Greensboro, Nc
U•• F•••••••• S••••••• I••• wirehouse
Jan 27, 2014 to Feb 21, 2020 · Winston-Salem, Nc
B••• S••••••••• L•• former
Jan 2, 2013 to Nov 20, 2013 · Winston-Salem, Nc
S•••• • S••••••••• L•• former
Jun 8, 2011 to Jan 2, 2013 · Winston-Salem, Nc
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Apr 1, 2002 to May 25, 2011 · Greensboro, Nc

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to I••••••••• A•••••• A•••••••• L••
left Nov 19, 2024, registered Feb 3, 2025 (76 days) · Affiliated broker-dealer or bank to independent RIA
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jul 8, 2022, registered Mar 10, 2023 (245 days) · Wirehouse to affiliated broker-dealer or bank
U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Feb 21, 2020, registered Jan 26, 2022 (705 days) · Wirehouse to wirehouse
B••• S••••••••• L•• to U•• F•••••••• S••••••• I•••
left Nov 20, 2013, registered Jan 27, 2014 (68 days) · Other
S•••• • S••••••••• L•• to B••• S••••••••• L••
left Jan 2, 2013, registered Jan 2, 2013 (0 days) · corporate re-registration, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••• • S••••••••• L••
left May 25, 2011, registered Jun 8, 2011 (14 days) · Other

Signals

L••• S• S•••• left F••••••• P••••••• A•• W•••••••• A••••••• for I••••••••• A•••••• A•••••••• L•• (registered 2025-02-03)
Nov 19, 2024 · a•••••• firm change · fact
L••• S• S•••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-03-10)
Jul 8, 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: I••••••••• WEALTHderived
Years in industry: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address