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•••• A•••••• M•••••••

L•• F•••••••• L••BD affiliatedFort Mill, Scdual registrantIAPD 4013550

Feed of 09/14/2026

Also filed as A•••• A M•••••••

At current firm

0 y

since Jul 14, 2026

In the industry

25 y

since Dec 29, 2000 (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

L•• F•••••••• L•• BD affiliated current
since Jul 14, 2026 · Fort Mill, Sc
U•• F•••••••• S••••••• I••• wirehouse
Jul 9, 2025 to Dec 26, 2025 · Charlotte, Nc
E•••••• A••••••• G••••• L•• BD affiliated
Dec 19, 2024 to May 13, 2025 · Tega Cay, Sc
V••••••• A•••••••• I••• BD affiliated
Dec 2, 2016 to Oct 23, 2024 · Charlotte, Nc
A••••• A•• P••••••• S••••••• BD affiliated
Oct 22, 2015 to Jun 24, 2016 · New York, Ny
U•• F•••••••• S••••••• I••• wirehouse
Jul 2, 2008 to Oct 8, 2015 · Weehawken, Nj
T• A••••••••• I••• former
Nov 26, 2004 to Jan 4, 2006 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

U•• F•••••••• S••••••• I••• to L•• F•••••••• L••
left Dec 26, 2025, registered Jul 14, 2026 (200 days) · Wirehouse to affiliated broker-dealer or bank
E•••••• A••••••• G••••• L•• to U•• F•••••••• S••••••• I•••
left May 13, 2025, registered Jul 9, 2025 (57 days) · Affiliated broker-dealer or bank to wirehouse
V••••••• A•••••••• I••• to E•••••• A••••••• G••••• L••
left Oct 23, 2024, registered Dec 19, 2024 (57 days) · Affiliated broker-dealer or bank to another
A••••• A•• P••••••• S••••••• to V••••••• A•••••••• I•••
left Jun 24, 2016, registered Dec 2, 2016 (161 days) · Other
U•• F•••••••• S••••••• I••• to A••••• A•• P••••••• S•••••••
left Oct 8, 2015, registered Oct 22, 2015 (14 days) · Other
T• A••••••••• I••• to U•• F•••••••• S••••••• I•••
left Jan 4, 2006, registered Jul 2, 2008 (910 days) · Other

Signals

A•••• A•••••• M••••••• left U•• F•••••••• S••••••• I••• for L•• F•••••••• L•• (registered 2026-07-14)
Dec 26, 2025 · Advisor changed firm · fact
A•••• A•••••• M••••••• left E•••••• A••••••• G••••• L•• for U•• F•••••••• S••••••• I••• (registered 2025-07-09)
May 13, 2025 · Advisor changed firm · fact
A•••• A•••••• M••••••• left V••••••• A•••••••• I••• for E•••••• A••••••• G••••• L•• (registered 2024-12-19)
Oct 23, 2024 · 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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address