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• D•••••••

V••••••• C•••••• M••••••••• L••independent RIAFranklin, TnIA-onlyIAPD 4056077

Feed of 09/14/2026

At current firm

1 y

since Jun 20, 2025

In the industry

14 y

since Jan 1, 2012 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

V••••••• C•••••• M••••••••• L•• independent RIA current
since Jun 20, 2025 · Franklin, Tn
B•• W••••• A•••••••• L•• unclassified
Oct 24, 2023 to Jul 29, 2025 · Charlotte, Nc
K••••• P•••••• W••••• S•••••••• L•• BD affiliated
Mar 16, 2023 to Oct 12, 2023 · Huntersville, Nc
K••••• A••••••• S•••••••• L•• BD affiliated
Mar 16, 2023 to Mar 16, 2023 · Ontario, Ca
B•• W••••• A•••••••• L•• unclassified
Jun 2, 2022 to Mar 17, 2023 · Pasadena, Ca
M••••• S•••••• wirehouse
Jul 24, 2012 to Jun 2, 2022 · Riverside, Ca

Moves

a registration end followed by a registration begin elsewhere

B•• W••••• A•••••••• L•• to V••••••• C•••••• M••••••••• L••
left Jul 29, 2025, registered Jun 20, 2025 (-39 days) · Other
K••••• P•••••• W••••• S•••••••• L•• to B•• W••••• A•••••••• L••
left Oct 12, 2023, registered Oct 24, 2023 (12 days) · Other
B•• W••••• A•••••••• L•• to K••••• A••••••• S•••••••• L••
left Mar 17, 2023, registered Mar 16, 2023 (-1 days) · Other
K••••• A••••••• S•••••••• L•• to K••••• P•••••• W••••• S•••••••• L••
left Mar 16, 2023, registered Mar 16, 2023 (0 days) · Affiliated broker-dealer or bank to another
M••••• S•••••• to B•• W••••• A•••••••• L••
left Jun 2, 2022, registered Jun 2, 2022 (0 days) · Other

Signals

A••• A• D••••••• left B•• W••••• A•••••••• L•• for V••••••• C•••••• M••••••••• L•• (registered 2025-06-20)
Jul 29, 2025 · Advisor changed firm · fact
A••• A• D••••••• left K••••• P•••••• W••••• S•••••••• L•• for B•• W••••• A•••••••• L•• (registered 2023-10-24)
Oct 12, 2023 · Advisor changed firm · fact
A••• A• D••••••• left B•• W••••• A•••••••• L•• for K••••• A••••••• S•••••••• L•• (registered 2023-03-16)
Mar 17, 2023 · Advisor changed firm · fact
A••• A• D••••••• left K••••• A••••••• S•••••••• L•• for K••••• P•••••• W••••• S•••••••• L•• (registered 2023-03-16)
Mar 16, 2023 · Advisor changed firm · fact
A••• A• D••••••• left M••••• S•••••• for B•• W••••• A•••••••• L•• (registered 2022-06-02)
Jun 2, 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: Independent wealth managerderived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address