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

A••••• C••••••

S•••••••• A••••••• L••national BDCharlotte, Ncdual registrantIAPD 5211298

Feed of 09/14/2026

Also filed as A••••• F C••••••

At current firm

1 y

since Mar 31, 2025

In the industry

18 y

since Dec 28, 2007 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••••• A••••••• L•• national BD current
since Mar 31, 2025 · Charlotte, Nc
F••••••• P••••••• A•• W•••••••• A••••••• former
Sep 23, 2022 to Mar 31, 2025 · Charlotte, Nc
T• A••••••••• I••••••••• M••••••••• L•• former
Oct 7, 2016 to Jul 28, 2022 · Charlotte, Nc
T• A••••••••• I••• former
Oct 7, 2016 to Jul 28, 2022 · Charlotte, Nc
U•• F•••••••• S••••••• I••• wirehouse
Sep 6, 2013 to Oct 21, 2016 · Weehawken, Nj
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Aug 11, 2011 to Aug 26, 2013 · Pennington, Nj
C•••• I••••••••• S••••••• C•••• former
Nov 11, 2008 to Apr 26, 2011 · Norridge, Il
P•• W••••• M••••••••• BD affiliated
Jan 17, 2008 to Feb 29, 2008 · East Brunswick, Nj

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
T• A••••••••• I••••••••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jul 28, 2022, registered Sep 23, 2022 (57 days) · RIA to affiliated broker-dealer or bank
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Jul 28, 2022, registered Oct 7, 2016 (-2120 days) · channel change inside one enterprise, not a move
U•• F•••••••• S••••••• I••• to T• A••••••••• I•••
left Oct 21, 2016, registered Oct 7, 2016 (-14 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••
left Aug 26, 2013, registered Sep 6, 2013 (11 days) · Wirehouse to wirehouse
C•••• I••••••••• S••••••• C•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Apr 26, 2011, registered Aug 11, 2011 (107 days) · Other
P•• W••••• M••••••••• to C•••• I••••••••• S••••••• C••••
left Feb 29, 2008, registered Nov 11, 2008 (256 days) · Other

Signals

A••••• C•••••• left T• A••••••••• I••••••••• M••••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-09-23)
Jul 28, 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: National broker-dealer RIAderived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address