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••••• B••• B•••••••

N•••• C••••••• L••formerCharlotte, Ncdual registrantIAPD 5428548

Chartered Financial Analyst

Feed of 09/14/2026

Also filed as A••••• B B•••••••

At current firm

0 y

since Nov 24, 2025

In the industry

24 y

since May 1, 2002 (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

N•••• C••••••• L•• former current
since Nov 24, 2025 · Charlotte, Nc
N•••• C••••••• L•• former
Mar 4, 2025 to Aug 11, 2025 · Charlotte, Nc
S••••• W••••• P••••••• independent RIA
Feb 16, 2022 to Mar 8, 2025 · Waxhaw, Nc
A•••• C•••••• independent RIA
Sep 3, 2021 to Feb 15, 2022 · Wayne, Pa
A••••• A•• P••••••• S••••••• BD affiliated
Feb 10, 2011 to Sep 4, 2019 · Charlotte, Nc
L•• F•••••••• L•• BD affiliated
Mar 26, 2008 to Aug 4, 2009 · Mooresville, Nc

Moves

a registration end followed by a registration begin elsewhere

S••••• W••••• P••••••• to N•••• C••••••• L••
left Mar 8, 2025, registered Mar 4, 2025 (-4 days) · RIA to a newly registered adviser
A•••• C•••••• to S••••• W••••• P•••••••
left Feb 15, 2022, registered Feb 16, 2022 (1 days) · RIA to a newly registered adviser
A••••• A•• P••••••• S••••••• to A•••• C••••••
left Sep 4, 2019, registered Sep 3, 2021 (730 days) · Affiliated broker-dealer or bank to independent RIA
L•• F•••••••• L•• to A••••• A•• P••••••• S•••••••
left Aug 4, 2009, registered Feb 10, 2011 (555 days) · Other

Signals

A••••• B••• B••••••• left S••••• W••••• P••••••• for N•••• C••••••• L•• (registered 2025-03-04)
Mar 8, 2025 · Advisor changed firm · fact
A••••• B••• B••••••• left A•••• C•••••• for S••••• W••••• P••••••• (registered 2022-02-16)
Feb 15, 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: Former SEC-registered adviserderived
Years in industry: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address