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••••• A••• S••••••

S••••• W••••• A•••••••• I•••no RAUMCharlotte, Ncdual registrantIAPD 3160744

Certified Financial Planner

Feed of 09/14/2026

Also filed as T••••• A••• S••••••

At current firm

0 y

since Jan 13, 2026

In the industry

18 y

since May 9, 2008 (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

S••••• W••••• A•••••••• I••• no RAUM current
since Jan 13, 2026 · Charlotte, Nc
V••••••• A•••••••• I••• BD affiliated
May 13, 2022 to Dec 31, 2025 · Charlotte, Nc
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Aug 27, 2013 to Apr 18, 2022 · Henderson, Nv
T••••• A• S••••••• C••• F•••••••• P••••••• A•• I••••••••• unclassified
Jul 11, 2012 to Sep 17, 2013 · Las Vegas, Nv
T•• W••••• G•••• unclassified
Jul 6, 2010 to Aug 2, 2011 · Las Vegas, Nv
F•••••••• A••••••• O• A••••••• L•• former
Jun 4, 2010 to May 7, 2012 · Las Vegas, Nv

Moves

a registration end followed by a registration begin elsewhere

V••••••• A•••••••• I••• to S••••• W••••• A•••••••• I•••
left Dec 31, 2025, registered Jan 13, 2026 (13 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to V••••••• A•••••••• I•••
left Apr 18, 2022, registered May 13, 2022 (25 days) · Wirehouse to affiliated broker-dealer or bank
T••••• A• S••••••• C••• F•••••••• P••••••• A•• I••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Sep 17, 2013, registered Aug 27, 2013 (-21 days) · Other
F•••••••• A••••••• O• A••••••• L•• to T•• W••••• G••••
left May 7, 2012, registered Jul 6, 2010 (-671 days) · Other
T•• W••••• G•••• to T••••• A• S••••••• C••• F•••••••• P••••••• A•• I•••••••••
left Aug 2, 2011, registered Jul 11, 2012 (344 days) · Other

Signals

T••••• A••• S•••••• left V••••••• A•••••••• I••• for S••••• W••••• A•••••••• I••• (registered 2026-01-13)
Dec 31, 2025 · Advisor changed firm · fact
T••••• A••• S•••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for V••••••• A•••••••• I••• (registered 2022-05-13)
Apr 18, 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: No RAUM reportedderived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address