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••• R••• D••••••

V••••••• A•••••••• I•••BD affiliatedCharlotte, Ncdual registrantIAPD 6127182

Certified Financial Planner

Feed of 09/14/2026

Also filed as Annie D••••••

At current firm

1 y

since Apr 22, 2025

In the industry

14 y

since Jul 1, 2012 (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

V••••••• A•••••••• I••• BD affiliated current
since Apr 22, 2025 · Charlotte, Nc
C•••••••• W••••• M••••••••• independent RIA
Apr 17, 2024 to Mar 28, 2025 · Charlotte, Nc
M••••• S•••••• wirehouse
Sep 11, 2017 to Mar 28, 2024 · New York, Ny
G•••••• S•••• W••••• S•••••••• L••• BD affiliated
Jul 8, 2013 to Aug 7, 2017 · Parsippany, Nj

Moves

a registration end followed by a registration begin elsewhere

C•••••••• W••••• M••••••••• to V••••••• A•••••••• I•••
left Mar 28, 2025, registered Apr 22, 2025 (25 days) · RIA to affiliated broker-dealer or bank
M••••• S•••••• to C•••••••• W••••• M•••••••••
left Mar 28, 2024, registered Apr 17, 2024 (20 days) · Wirehouse to independent RIA
G•••••• S•••• W••••• S•••••••• L••• to M••••• S••••••
left Aug 7, 2017, registered Sep 11, 2017 (35 days) · Other

Signals

A••• R••• D•••••• left C•••••••• W••••• M••••••••• for V••••••• A•••••••• I••• (registered 2025-04-22)
Mar 28, 2025 · Advisor changed firm · fact
A••• R••• D•••••• left M••••• S•••••• for C•••••••• W••••• M••••••••• (registered 2024-04-17)
Mar 28, 2024 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address