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.

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Registered advisor

J•••• D••••••

C••• S••••• P•••••••BD affiliatedCharlotte, NcIA-onlyIAPD 5184222

Certified Financial Planner · Chartered Financial Analyst

Feed of 09/14/2026

Also filed as J•••• D••••••

At current firm

2 y

since Mar 22, 2024

In the industry

20 y

since Sep 15, 2006 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••• S••••• P••••••• BD affiliated current
since Mar 22, 2024 · Charlotte, Nc
E••••••• W••••• A••••••• former
May 13, 2021 to Apr 1, 2024 · Huntersville, Nc
D••••••••• F••• A••••••• L• asset manager
Apr 29, 2019 to May 12, 2021 · Charlotte, Nc
F••••••• P••••••• A•• W•••••••• A••••••• former
Jul 13, 2018 to Apr 4, 2019 · Boston, Ma
S•••••••• A••••••• L•• national BD
Dec 21, 2011 to Jul 13, 2018 · Orland Park, Il

Moves

a registration end followed by a registration begin elsewhere

E••••••• W••••• A••••••• to C••• S••••• P•••••••
left Apr 1, 2024, registered Mar 22, 2024 (-10 days) · RIA to affiliated broker-dealer or bank
D••••••••• F••• A••••••• L• to E••••••• W••••• A•••••••
left May 12, 2021, registered May 13, 2021 (1 days) · Other
F••••••• P••••••• A•• W•••••••• A••••••• to D••••••••• F••• A••••••• L•
left Apr 4, 2019, registered Apr 29, 2019 (25 days) · Other
S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move

Signals

J•••• D•••••• left E••••••• W••••• A••••••• for C••• S••••• P••••••• (registered 2024-03-22)
Apr 1, 2024 · 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