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••••••••• H••••• E••••••

M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseJacksonville, Fl dual registrantIAPD 4797868

Feed of 09/14/2026

Also filed as C••••••••• H••••• E••••••

At current firm

6 y

since May 11, 2020

In the industry

16 y

since Sep 22, 2009 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse current
since May 11, 2020 · Jacksonville, Fl
F•••• T•••• S••••••••• I••• BD affiliated
Apr 2, 2019 to Apr 10, 2020 · Charlotte, Nc
O••••••••• S••••••••• I••• BD affiliated
Dec 1, 2015 to Jan 22, 2018 · Charlotte, Nc
S••••••• F•••••••• S•••••••• I••• former
Jun 11, 2015 to Nov 4, 2015 · Charlotte, Nc
U•• F•••••••• S••••••• I••• wirehouse
Jun 3, 2014 to May 29, 2015 · Charlotte, Nc

Moves

a registration end followed by a registration begin elsewhere

F•••• T•••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Apr 10, 2020, registered May 11, 2020 (31 days) · Affiliated broker-dealer or bank to wirehouse
O••••••••• S••••••••• I••• to F•••• T•••• S••••••••• I•••
left Jan 22, 2018, registered Apr 2, 2019 (435 days) · Other
S••••••• F•••••••• S•••••••• I••• to O••••••••• S••••••••• I•••
left Nov 4, 2015, registered Dec 1, 2015 (27 days) · Other · moved with a team
U•• F•••••••• S••••••• I••• to S••••••• F•••••••• S•••••••• I•••
left May 29, 2015, registered Jun 11, 2015 (13 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: Wirehousederived
Years in industry: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address