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

T•••••• R•••• R••••••

L•• F•••••••• L••BD affiliatedMorehead City, Nc dual registrantIAPD 5224883

Feed of 09/15/2026

At current firm

5 y

since Aug 26, 2021

In the industry

19 y

since Jan 30, 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

L•• F•••••••• L•• BD affiliated current
since Aug 26, 2021 · Roanoke, Va
C••••• A•••••• N••••••• L•• former
Oct 16, 2017 to Aug 30, 2021 · Roanoke, Va
I••••••••• C•••••• O• A••••••• I••• former
Aug 15, 2014 to Oct 16, 2017 · Roanoke, Va
S••••••• I••••••••• S•••••••• I••• former
Oct 6, 2008 to Aug 21, 2014 · Roanoke, Va
V••• F•••••••• A•••••••• I••• BD affiliated
May 5, 2008 to Aug 25, 2008 · Roanoke, Va
E•••••••• A•••••••• L•• national BD
Feb 6, 2007 to May 2, 2008 · Roanoke, Va

Moves

a registration end followed by a registration begin elsewhere

C••••• A•••••• N••••••• L•• to L•• F•••••••• L••
left Aug 30, 2021, registered Aug 26, 2021 (-4 days) · Affiliated broker-dealer or bank to another · moved with a team
I••••••••• C•••••• O• A••••••• I••• to C••••• A•••••• N••••••• L••
left Oct 16, 2017, registered Oct 16, 2017 (0 days) · Other · moved with a team
S••••••• I••••••••• S•••••••• I••• to I••••••••• C•••••• O• A••••••• I•••
left Aug 21, 2014, registered Aug 15, 2014 (-6 days) · Other
V••• F•••••••• A•••••••• I••• to S••••••• I••••••••• S•••••••• I•••
left Aug 25, 2008, registered Oct 6, 2008 (42 days) · Other
E•••••••• A•••••••• L•• to V••• F•••••••• A•••••••• I•••
left May 2, 2008, registered May 5, 2008 (3 days) · Other

Signals

No dated event on this person.

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: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address