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

A•• V••••••• S•••

S••••••• C•••••• M••••••••• L••otherCharlotte, Ncdual registrantIAPD 3172047

Feed of 09/14/2026

Also filed as A•• V••••••• S•••

At current firm

1 y

since May 7, 2025

In the industry

27 y

since Mar 23, 1999 (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••••••• C•••••• M••••••••• L•• other current
since May 7, 2025 · Charlotte, Nc
A••••••• A•••• M••••••••• I••• mixed wealth
Mar 23, 2023 to Mar 20, 2025 · Princeton, Nj
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Apr 4, 2019 to Feb 14, 2023 · Yardley, Pa
W•••••• • R••• former
Apr 29, 2010 to Dec 31, 2011 · Overland Park, Ks
J••• M••••• I••••••••• M••••••••• I••• asset manager
Aug 24, 2006 to Aug 4, 2008 · New York, Ny
C••••••••• I••••••••• L•• mixed wealth
Dec 20, 2005 to Jul 5, 2006 · New York, Ny
C•••••••• G••••• M•••••• I••• BD affiliated
Dec 13, 2004 to Dec 21, 2005 · Stamford, Ct
R••••• F•••••• I••• unclassified
Dec 12, 2002 to Sep 9, 2003 · New York, Ny
J••• M••••• I••••••••• M••••••••• I••• asset manager
Nov 20, 2002 to Aug 3, 2004 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

A••••••• A•••• M••••••••• I••• to S••••••• C•••••• M••••••••• L••
left Mar 20, 2025, registered May 7, 2025 (48 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••• A•••• M••••••••• I•••
left Feb 14, 2023, registered Mar 23, 2023 (37 days) · Other
W•••••• • R••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Dec 31, 2011, registered Apr 4, 2019 (2651 days) · Other
J••• M••••• I••••••••• M••••••••• I••• to W•••••• • R•••
left Aug 4, 2008, registered Apr 29, 2010 (633 days) · Other
C••••••••• I••••••••• L•• to J••• M••••• I••••••••• M••••••••• I•••
left Jul 5, 2006, registered Aug 24, 2006 (50 days) · Other
C•••••••• G••••• M•••••• I••• to C••••••••• I••••••••• L••
left Dec 21, 2005, registered Dec 20, 2005 (-1 days) · corporate re-registration, not a move
J••• M••••• I••••••••• M••••••••• I••• to R••••• F•••••• I•••
left Aug 3, 2004, registered Dec 12, 2002 (-600 days) · Other
R••••• F•••••• I••• to C•••••••• G••••• M•••••• I•••
left Sep 9, 2003, registered Dec 13, 2004 (461 days) · Other

Signals

A•• V••••••• S••• left A••••••• A•••• M••••••••• I••• for S••••••• C•••••• M••••••••• L•• (registered 2025-05-07)
Mar 20, 2025 · Advisor changed firm · fact
A•• V••••••• S••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for A••••••• A•••• M••••••••• I••• (registered 2023-03-23)
Feb 14, 2023 · 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: Other adviserderived
Years in industry: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address