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.
Feed of 09/14/2026
At current firm
7 y
since Jul 26, 2019
In the industry
21 y
since Apr 5, 2005 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- N.N.A.I.A state registered currentsince Jul 26, 2019 · Syosset, Ny
- Sandlapper Wealth Management, LLC formerNov 30, 2015 to Dec 11, 2017 · Syosset, Ny
- Capital Investment Advisory Services, LLC BD affiliatedOct 19, 2010 to Jul 16, 2015 · Raleigh, Nc
- Cic Advisers, LLC unclassifiedOct 8, 2010 to Dec 31, 2012 · Raleigh, Nc
- Park Avenue Securities LLC BD affiliatedJul 20, 2007 to Sep 16, 2010 · Woodbury, Ny
Moves
a registration end followed by a registration begin elsewhere
- Sandlapper Wealth Management, LLC to N.N.A.I.Aleft Dec 11, 2017, registered Jul 26, 2019 (592 days) · RIA to a state-registered adviser
- Capital Investment Advisory Services, LLC to Sandlapper Wealth Management, LLCleft Jul 16, 2015, registered Nov 30, 2015 (137 days) · Other
- Cic Advisers, LLC to Capital Investment Advisory Services, LLCleft Dec 31, 2012, registered Oct 19, 2010 (-804 days) · corporate re-registration, not a move
- Park Avenue Securities LLC to Cic Advisers, LLCleft Sep 16, 2010, registered Oct 8, 2010 (22 days) · Other
Signals
No dated event on this person.
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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address