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

W•••••• J• C•••••

T••••••••• R••••••••• A•••••••• L••BD affiliatedFayetteville, Ncdual registrantIAPD 4819012

Feed of 09/14/2026

Also filed as W•••••• James C•••••

At current firm

0 y

since Dec 17, 2025

In the industry

20 y

since Dec 1, 2005 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

T••••••••• R••••••••• A•••••••• L•• BD affiliated current
since Dec 17, 2025 · Fayetteville, Nc
P••• A••••• S••••••••• L•• BD affiliated
Jun 6, 2025 to Dec 8, 2025 · Fayetteville, Nc
T••••••• I••••••••• M••••••••• I••• BD affiliated
Nov 18, 2022 to Aug 26, 2024 · Minneapolis, Mn
N••••••••• M••••• I••••••••• S••••••••• no RAUM
Oct 19, 2020 to Jun 13, 2022 · Raleigh, Nc
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Dec 2, 2015 to May 6, 2020 · Fayetteville, Nc
W•••• F•••• A••••••• wirehouse
Mar 11, 2013 to Jul 8, 2015 · Fayetteville, Nc

Moves

a registration end followed by a registration begin elsewhere

P••• A••••• S••••••••• L•• to T••••••••• R••••••••• A•••••••• L••
left Dec 8, 2025, registered Dec 17, 2025 (9 days) · Affiliated broker-dealer or bank to another
T••••••• I••••••••• M••••••••• I••• to P••• A••••• S••••••••• L••
left Aug 26, 2024, registered Jun 6, 2025 (284 days) · Affiliated broker-dealer or bank to another
N••••••••• M••••• I••••••••• S••••••••• to T••••••• I••••••••• M••••••••• I•••
left Jun 13, 2022, registered Nov 18, 2022 (158 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to N••••••••• M••••• I••••••••• S•••••••••
left May 6, 2020, registered Oct 19, 2020 (166 days) · Other
W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jul 8, 2015, registered Dec 2, 2015 (147 days) · Wirehouse to wirehouse

Signals

W•••••• J• C••••• left P••• A••••• S••••••••• L•• for T••••••••• R••••••••• A•••••••• L•• (registered 2025-12-17)
Dec 8, 2025 · Advisor changed firm · fact
W•••••• J• C••••• left T••••••• I••••••••• M••••••••• I••• for P••• A••••• S••••••••• L•• (registered 2025-06-06)
Aug 26, 2024 · Advisor changed firm · fact
W•••••• J• C••••• left N••••••••• M••••• I••••••••• S••••••••• for T••••••• I••••••••• M••••••••• I••• (registered 2022-11-18)
Jun 13, 2022 · 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: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address