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

M•••••• R••••• C••••

F••••••••• W••••• • T•• A•••••••• L••state registeredCharlotte, Nc IA-onlyIAPD 5596516

Certified Financial Planner

Feed of 09/15/2026

At current firm

4 y

since Feb 28, 2022

In the industry

14 y

since Oct 1, 2011 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

n/a

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

F••••••••• W••••• • T•• A•••••••• L•• state registered current
since Feb 28, 2022 · Charlotte, Nc
B••••••• W••••• A•••••••• L•• independent RIA
Jun 17, 2019 to Nov 3, 2022 · Frederick, Md
P••• A••••• S••••••••• L•• BD affiliated
Mar 1, 2019 to Apr 9, 2019 · Chevy Chase, Md
S••••••• W••••• M••••••••• unclassified
Jun 15, 2018 to Jun 22, 2018 · Frederick, Md
C•••• P•••• A••••••• L•• former
Jan 25, 2018 to May 25, 2018 · Ellicott City, Md

Moves

a registration end followed by a registration begin elsewhere

B••••••• W••••• A•••••••• L•• to F••••••••• W••••• • T•• A•••••••• L••
left Nov 3, 2022, registered Feb 28, 2022 (-248 days) · RIA to a state-registered adviser · moved with a team
P••• A••••• S••••••••• L•• to B••••••• W••••• A•••••••• L••
left Apr 9, 2019, registered Jun 17, 2019 (69 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
S••••••• W••••• M••••••••• to P••• A••••• S••••••••• L••
left Jun 22, 2018, registered Mar 1, 2019 (252 days) · Other
C•••• P•••• A••••••• L•• to S••••••• W••••• M•••••••••
left May 25, 2018, registered Jun 15, 2018 (21 days) · Other · moved with a team

Signals

M•••••• R••••• C•••• left B••••••• W••••• A•••••••• L•• for F••••••••• W••••• • T•• A•••••••• L•• (registered 2022-02-28)
Nov 3, 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: STATE REGISTEREDderived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address