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••••• C••••• M•••••

A••••••• W••••• M•••••••••state registeredCharlotte, NcIA-onlyIAPD 5458123

Certified Financial Planner

Feed of 09/14/2026

Also filed as T••••• C••••• M•••••

At current firm

1 y

since Mar 7, 2025

In the industry

17 y

since Sep 18, 2009 (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

A••••••• W••••• M••••••••• state registered current
since Mar 7, 2025 · Charlotte, Nc
D••••••••• F••• A••••••• L• asset manager
Dec 14, 2016 to Jan 8, 2025 · Charlotte, Nc
A•••••••• F•••• M••••••••• L•• asset manager
Jan 17, 2013 to Dec 31, 2014 · Menomonee Falls, Wi
A••••••••• F•••••••• S•••••••• L•• national BD
Feb 23, 2011 to Jan 15, 2013 · Grand Rapids, Mi
M••••• S•••••• wirehouse
May 21, 2010 to Oct 11, 2010 · Grand Rapids, Mi

Moves

a registration end followed by a registration begin elsewhere

D••••••••• F••• A••••••• L• to A••••••• W••••• M•••••••••
left Jan 8, 2025, registered Mar 7, 2025 (58 days) · Other
A•••••••• F•••• M••••••••• L•• to D••••••••• F••• A••••••• L•
left Dec 31, 2014, registered Dec 14, 2016 (714 days) · Other
A••••••••• F•••••••• S•••••••• L•• to A•••••••• F•••• M••••••••• L••
left Jan 15, 2013, registered Jan 17, 2013 (2 days) · Other
M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••
left Oct 11, 2010, registered Feb 23, 2011 (135 days) · Wirehouse to affiliated broker-dealer or bank

Signals

T••••• C••••• M••••• left D••••••••• F••• A••••••• L• for A••••••• W••••• M••••••••• (registered 2025-03-07)
Jan 8, 2025 · 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: STATE REGISTEREDderived
Years in industry: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address