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

S•••••• M•••••• T•••••

L•• F•••••••• L••BD affiliatedAsheville, Nc dual registrantIAPD 5587244

Feed of 09/19/2026

Also filed as S•••••• T•••••

At current firm

12 y

since May 15, 2014

In the industry

16 y

since Oct 2, 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

L•• F•••••••• L•• BD affiliated current
since May 15, 2014 · Asheville, Nc
I••••••••• A•••••• A•••••••• L•• i••••••••• wealth
Dec 18, 2013 to May 2, 2014 · Siler City, Nc
W•••• F•••• A••••••• wirehouse
Feb 15, 2013 to Feb 21, 2013 · Raleigh, Nc
E••••• J•••• national BD
Oct 5, 2009 to Dec 18, 2013 · Siler City, Nc

Moves

a registration end followed by a registration begin elsewhere

I••••••••• A•••••• A•••••••• L•• to L•• F•••••••• L••
left May 2, 2014, registered May 15, 2014 (13 days) · Other
E••••• J•••• to W•••• F•••• A•••••••
left Dec 18, 2013, registered Feb 15, 2013 (-306 days) · Affiliated broker-dealer or bank to wirehouse
W•••• F•••• A••••••• to I••••••••• A•••••• A•••••••• L••
left Feb 21, 2013, registered Dec 18, 2013 (300 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)

Signals

S•••••• M•••••• T••••• added a SC registration at L•• F•••••••• L••
Sep 18, 2026 · a•••••• state registration added · 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: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address