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•••••• C•••• T•••

G••••••••• I••••••••• A•••••••• L••state registeredHigh Point, NcIA-onlyIAPD 4632046

Feed of 09/14/2026

At current firm

20 y

since Aug 9, 2006

In the industry

23 y

since May 2, 2003 (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

G••••••••• I••••••••• A•••••••• L•• state registered current
since Aug 9, 2006 · High Point, Nc
E•••••••• A••••••• former
Dec 2, 2022 to Aug 21, 2025 · High Point, Nc
S••••• M••••••••• independent RIA
May 14, 2019 to Mar 1, 2023 · North Little Rock, Ar
M••••• M••••• I••• mixed wealth
May 25, 2017 to Sep 10, 2025 · High Point, Nc
N••• F•••••••• G••••• I••• former
Apr 1, 2005 to Aug 9, 2006 · High Point, Nc

Moves

a registration end followed by a registration begin elsewhere

M••••• M••••• I••• to S••••• M•••••••••
left Sep 10, 2025, registered May 14, 2019 (-2311 days) · RIA to RIA
E•••••••• A••••••• to no registered destination
left Aug 21, 2025 · Departure, no registered destination
S••••• M••••••••• to E•••••••• A•••••••
left Mar 1, 2023, registered Dec 2, 2022 (-89 days) · RIA to RIA · moved with a team
N••• F•••••••• G••••• I••• to G••••••••• I••••••••• A•••••••• L••
left Aug 9, 2006, registered Aug 9, 2006 (0 days) · Other

Signals

S•••••• C•••• T••• left M••••• M••••• I••• for S••••• M••••••••• (registered 2019-05-14)
Sep 10, 2025 · Advisor changed firm · fact
S•••••• C•••• T••• no longer registered at E•••••••• A•••••••; no later IA registration on IAPD
Aug 21, 2025 · Advisor departure · fact
S•••••• C•••• T••• left S••••• M••••••••• for E•••••••• A••••••• (registered 2022-12-02)
Mar 1, 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: STATE REGISTEREDderived
Years in industry: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address