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

C•••••• A•••••••• J••••••

D•••••• A•••••••• G•••• • W•••••otherYork, Sc IA-onlyIAPD 4237268

Feed of 09/14/2026

Also filed as C•••••• A•••••••• Depken

At current firm

0 y

since Apr 21, 2026

In the industry

25 y

since Nov 3, 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

D•••••• A•••••••• G•••• • W••••• other current
since Apr 21, 2026 · York, Sc
U••• B•••••• I••••••••• I••• former
Mar 9, 2026 to Mar 20, 2026 · York, Sc
U••• B•••••• A•••••••• L•• BD affiliated
Feb 13, 2026 to Apr 17, 2026 · York, Sc
U••• B•••••• I••••••••• I••• former
Apr 17, 2019 to Feb 13, 2026 · Charlotte, Nc
L•• F•••••••• L•• BD affiliated
Oct 8, 2013 to Jan 16, 2019 · Fort Mill, Sc
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 11, 2010 to Sep 17, 2012 · Charlotte, Nc
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Dec 16, 2005 to Jan 29, 2009 · Charlotte, Nc
C•••••••• G••••• M•••••• I••• BD affiliated
Oct 21, 2005 to Dec 16, 2005 · Charlotte, Nc
C•••••• S••••• • C••• I••• national BD
Jun 26, 2002 to Jul 13, 2005 · Charlotte, Nc

Moves

a registration end followed by a registration begin elsewhere

U••• B•••••• A•••••••• L•• to U••• B•••••• I••••••••• I•••
left Apr 17, 2026, registered Mar 9, 2026 (-39 days) · Affiliated broker-dealer or bank to another
U••• B•••••• I••••••••• I••• to D•••••• A•••••••• G•••• • W•••••
left Mar 20, 2026, registered Apr 21, 2026 (32 days) · Other
U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••
left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
L•• F•••••••• L•• to U••• B•••••• I••••••••• I•••
left Jan 16, 2019, registered Apr 17, 2019 (91 days) · RIA to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••
left Sep 17, 2012, registered Oct 8, 2013 (386 days) · Other
B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jan 29, 2009, registered Nov 11, 2010 (651 days) · Other
C•••••••• G••••• M•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Dec 16, 2005, registered Dec 16, 2005 (0 days) · Other
C•••••• S••••• • C••• I••• to C•••••••• G••••• M•••••• I•••
left Jul 13, 2005, registered Oct 21, 2005 (100 days) · Other

Signals

C•••••• A•••••••• J•••••• left U••• B•••••• A•••••••• L•• for U••• B•••••• I••••••••• I••• (registered 2026-03-09)
Apr 17, 2026 · Advisor changed firm · fact
C•••••• A•••••••• J•••••• left U••• B•••••• I••••••••• I••• for D•••••• A•••••••• G•••• • W••••• (registered 2026-04-21)
Mar 20, 2026 · 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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address