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••• A•••• C•••••••

W•••• F•••• A•••••••wirehouseRaleigh, Ncdual registrantIAPD 6055022

Feed of 09/14/2026

Also filed as A••• C•••••••

At current firm

0 y

since Jul 8, 2026

In the industry

13 y

since Mar 30, 2013 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W•••• F•••• A••••••• wirehouse current
since Jul 8, 2026 · Raleigh, Nc
C••••• I••••••••• A••••••• L•• BD affiliated
Feb 6, 2024 to Mar 20, 2026 · Raleigh, Nc
C••• F•••••••• S•••••••• L••• former
Feb 13, 2023 to Jan 29, 2024 · Raleigh, Nc
M••••• S•••••• wirehouse
Dec 27, 2018 to Dec 13, 2022 · Raleigh, Nc
W•••• F•••• A••••••• wirehouse
Jul 29, 2016 to Dec 13, 2018 · Mooresville, Nc

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to W•••• F•••• A•••••••
left Mar 20, 2026, registered Jul 8, 2026 (110 days) · Affiliated broker-dealer or bank to wirehouse
C••• F•••••••• S•••••••• L••• to C••••• I••••••••• A••••••• L••
left Jan 29, 2024, registered Feb 6, 2024 (8 days) · Affiliated broker-dealer or bank to another
M••••• S•••••• to C••• F•••••••• S•••••••• L•••
left Dec 13, 2022, registered Feb 13, 2023 (62 days) · Wirehouse to affiliated broker-dealer or bank
W•••• F•••• A••••••• to M••••• S••••••
left Dec 13, 2018, registered Dec 27, 2018 (14 days) · Wirehouse to wirehouse

Signals

A••• A•••• C••••••• left C••••• I••••••••• A••••••• L•• for W•••• F•••• A••••••• (registered 2026-07-08)
Mar 20, 2026 · Advisor changed firm · fact
A••• A•••• C••••••• left C••• F•••••••• S•••••••• L••• for C••••• I••••••••• A••••••• L•• (registered 2024-02-06)
Jan 29, 2024 · Advisor changed firm · fact
A••• A•••• C••••••• left M••••• S•••••• for C••• F•••••••• S•••••••• L••• (registered 2023-02-13)
Dec 13, 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: Wirehousederived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address