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

H••••• A••••• D•••••

M••••• G••••• A••••••• I•••independent RIACharlotte, Nc IA-onlyIAPD 4969372

Certified Financial Planner

Feed of 09/15/2026

Also filed as H••••• D•••••

At current firm

0 y

since May 20, 2026

In the industry

20 y

since Oct 26, 2005 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M••••• G••••• A••••••• I••• independent RIA current
since May 20, 2026 · Charlotte, Nc
M••••• F••• W••••• M••••••••• L•• independent RIA
Sep 29, 2025 to Apr 20, 2026 · Charlotte, Nc
M••••• W••••• M••••••••• L•• independent RIA
Apr 26, 2023 to Sep 2, 2025 · Charlotte, Nc
P••••• F•••••••• former
Mar 9, 2021 to Apr 27, 2023 · Asheville, Nc
V••••••• A•••••••• I••• BD affiliated
Jun 30, 2020 to Dec 16, 2020 · Charlotte, Nc
W•••• F•••• A••••••• wirehouse
Aug 15, 2006 to Apr 8, 2011 · Charlotte, Nc
M••••• S•••••• D• I••• unclassified
Oct 27, 2005 to May 24, 2006 · White Plains, Ny

Moves

a registration end followed by a registration begin elsewhere

M••••• F••• W••••• M••••••••• L•• to M••••• G••••• A••••••• I•••
left Apr 20, 2026, registered May 20, 2026 (30 days) · RIA to RIA
M••••• W••••• M••••••••• L•• to M••••• F••• W••••• M••••••••• L••
left Sep 2, 2025, registered Sep 29, 2025 (27 days) · RIA to RIA
P••••• F•••••••• to M••••• W••••• M••••••••• L••
left Apr 27, 2023, registered Apr 26, 2023 (-1 days) · corporate re-registration, not a move
V••••••• A•••••••• I••• to P••••• F••••••••
left Dec 16, 2020, registered Mar 9, 2021 (83 days) · Affiliated broker-dealer or bank to independent RIA
W•••• F•••• A••••••• to V••••••• A•••••••• I•••
left Apr 8, 2011, registered Jun 30, 2020 (3371 days) · Wirehouse to affiliated broker-dealer or bank
M••••• S•••••• D• I••• to W•••• F•••• A•••••••
left May 24, 2006, registered Aug 15, 2006 (83 days) · Other

Signals

H••••• A••••• D••••• left M••••• F••• W••••• M••••••••• L•• for M••••• G••••• A••••••• I••• (registered 2026-05-20)
Apr 20, 2026 · Advisor changed firm · fact
H••••• A••••• D••••• left M••••• W••••• M••••••••• L•• for M••••• F••• W••••• M••••••••• L•• (registered 2025-09-29)
Sep 2, 2025 · 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: Independent wealth managerderived
Years in industry: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address