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

S•••••• R••• H•••••

V••••••• A•••••••• I•••BD affiliatedCharlotte, Ncdual registrantIAPD 4582642

Certified Financial Planner

Feed of 09/14/2026

Also filed as S•••••• R••• H•••••

At current firm

0 y

since Mar 12, 2026

In the industry

23 y

since May 1, 2003 (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

V••••••• A•••••••• I••• BD affiliated current
since Mar 12, 2026 · Charlotte, Nc
B••• F•••••••• independent RIA
Aug 29, 2025 to Feb 12, 2026 · Charlotte, Nc
L•• F•••••••• L•• BD affiliated
Mar 20, 2023 to Jul 3, 2025 · Fort Mill, Sc
C••••• I••••••••• A••••••• L•• BD affiliated
Jan 21, 2020 to Feb 23, 2023 · Charlotte, Nc
E•••••••• A•••••••• L•• national BD
Sep 24, 2018 to May 2, 2019 · Charlotte, Nc
S•••••••• S••••••••• BD affiliated
Sep 13, 2017 to Aug 27, 2018 · West Roxbury, Ma
V••• F•••••••• A•••••••• I••• BD affiliated
Feb 4, 2013 to Aug 30, 2017 · Braintree, Ma
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jun 30, 2010 to Aug 21, 2012 · Wellesley Hills, Ma

Moves

a registration end followed by a registration begin elsewhere

B••• F•••••••• to V••••••• A•••••••• I•••
left Feb 12, 2026, registered Mar 12, 2026 (28 days) · RIA to affiliated broker-dealer or bank
L•• F•••••••• L•• to B••• F••••••••
left Jul 3, 2025, registered Aug 29, 2025 (57 days) · Affiliated broker-dealer or bank to independent RIA
C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••
left Feb 23, 2023, registered Mar 20, 2023 (25 days) · Affiliated broker-dealer or bank to another
E•••••••• A•••••••• L•• to C••••• I••••••••• A••••••• L••
left May 2, 2019, registered Jan 21, 2020 (264 days) · Affiliated broker-dealer or bank to another
S•••••••• S••••••••• to E•••••••• A•••••••• L••
left Aug 27, 2018, registered Sep 24, 2018 (28 days) · Affiliated broker-dealer or bank to another
V••• F•••••••• A•••••••• I••• to S•••••••• S•••••••••
left Aug 30, 2017, registered Sep 13, 2017 (14 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to V••• F•••••••• A•••••••• I•••
left Aug 21, 2012, registered Feb 4, 2013 (167 days) · Other

Signals

S•••••• R••• H••••• left B••• F•••••••• for V••••••• A•••••••• I••• (registered 2026-03-12)
Feb 12, 2026 · Advisor changed firm · fact
S•••••• R••• H••••• left L•• F•••••••• L•• for B••• F•••••••• (registered 2025-08-29)
Jul 3, 2025 · Advisor changed firm · fact
S•••••• R••• H••••• left C••••• I••••••••• A••••••• L•• for L•• F•••••••• L•• (registered 2023-03-20)
Feb 23, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address