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

R•••••• F••••••••

F•••• T•••• S••••••••• I•••BD affiliatedMatthews, Ncdual registrantIAPD 5138773

Feed of 09/14/2026

Also filed as R•••••• F••••••••

At current firm

3 y

since Jan 12, 2023

In the industry

20 y

since Jun 8, 2006 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

F•••• T•••• S••••••••• I••• BD affiliated current
since Jan 12, 2023 · Matthews, Nc
W•••• F•••• A••••••• wirehouse
May 14, 2019 to Oct 6, 2022 · Charlotte, Nc
R•• C•••••• M••••••• L•• national BD
Dec 13, 2017 to Feb 12, 2019 · Sarasota, Fl
P•• W••••• M••••••••• BD affiliated
Jul 12, 2016 to Nov 29, 2017 · Sarasota, Fl
S•••••••• A••••••• L•• national BD
Aug 25, 2015 to Mar 18, 2016 · Sarasota, Fl

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to F•••• T•••• S••••••••• I•••
left Oct 6, 2022, registered Jan 12, 2023 (98 days) · Wirehouse to affiliated broker-dealer or bank
R•• C•••••• M••••••• L•• to W•••• F•••• A•••••••
left Feb 12, 2019, registered May 14, 2019 (91 days) · Affiliated broker-dealer or bank to wirehouse
P•• W••••• M••••••••• to R•• C•••••• M••••••• L••
left Nov 29, 2017, registered Dec 13, 2017 (14 days) · Affiliated broker-dealer or bank to another
S•••••••• A••••••• L•• to P•• W••••• M•••••••••
left Mar 18, 2016, registered Jul 12, 2016 (116 days) · Other

Signals

R•••••• F•••••••• left W•••• F•••• A••••••• for F•••• T•••• S••••••••• I••• (registered 2023-01-12)
Oct 6, 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