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

D•••• C•••• B••••

W••••• E••••••••• A••••••• S•••••••• L••BD affiliatedFort Mill, Sc IA-onlyIAPD 3160244

Feed of 09/15/2026

At current firm

1 y

since Jul 10, 2025

In the industry

27 y

since Dec 17, 1998 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated current
since Jul 10, 2025 · Plymouth, Mn
O•••• W•••••• I••• BD affiliated
Aug 23, 2024 to Jul 10, 2025 · Scottsdale, Az
T•••• A•••••••• L•• former
Jul 15, 2020 to Aug 23, 2024 · Atlanta, Ga
T•••• A•••••••• L•• former
Jul 1, 2019 to Jul 31, 2019 · Atlanta, Ga
A••••••• W••••• M••••••••• L•• independent RIA
May 12, 2016 to May 24, 2018 · Mooresville, Nc
C••••• I••••••••• A•••••••• L•• former
Oct 24, 2013 to Jun 30, 2015 · Charlotte, Nc
C•••••••• I••••••••• C••••••••• L•• former
Nov 14, 2011 to Oct 14, 2013 · Charlotte, Nc
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jun 2, 2010 to Nov 3, 2010 · Charlotte, Nc
L•• F•••••••• L•• BD affiliated
Jan 10, 2008 to Feb 3, 2010 · Charlotte, Nc

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to W••••• E••••••••• A••••••• S•••••••• L••
left Jul 10, 2025, registered Jul 10, 2025 (0 days) · Affiliated broker-dealer or bank to another
T•••• A•••••••• L•• to O•••• W•••••• I•••
left Aug 23, 2024, registered Aug 23, 2024 (0 days) · corporate re-registration, not a move
A••••••• W••••• M••••••••• L•• to T•••• A•••••••• L••
left May 24, 2018, registered Jul 1, 2019 (403 days) · RIA to affiliated broker-dealer or bank
C••••• I••••••••• A•••••••• L•• to A••••••• W••••• M••••••••• L••
left Jun 30, 2015, registered May 12, 2016 (317 days) · Other
C•••••••• I••••••••• C••••••••• L•• to C••••• I••••••••• A•••••••• L••
left Oct 14, 2013, registered Oct 24, 2013 (10 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• I••••••••• C••••••••• L••
left Nov 3, 2010, registered Nov 14, 2011 (376 days) · Other
L•• F•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Feb 3, 2010, registered Jun 2, 2010 (119 days) · Other

Signals

D•••• C•••• B•••• left O•••• W•••••• I••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2025-07-10)
Jul 10, 2025 · 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: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address