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

G•••••• S••••• R••••••••

O•••• W•••••• I•••BD affiliatedCary, Ncdual registrantIAPD 6151934

Certified Financial Planner

Feed of 09/14/2026

At current firm

0 y

since Apr 22, 2026

In the industry

13 y

since May 25, 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

O•••• W•••••• I••• BD affiliated current
since Apr 22, 2026 · Cary, Nc
F••••••• F•••••••• A•••••••• L•• i••••••••• wealth
Mar 15, 2024 to Apr 22, 2026 · Cary, Nc
I••••••••• A•••••• A•••••••• L•• i••••••••• wealth
Oct 14, 2021 to Mar 15, 2024 · Cary, Nc
E••••• J•••• national BD
Jun 20, 2019 to Oct 15, 2021 · Holly Springs, Nc
W••••••••• A••••••• unclassified
Oct 19, 2017 to Oct 12, 2018 · Holly Springs, Nc
S•••••••• I••••••••• M••••••••• former
Jun 27, 2016 to Apr 19, 2017 · Saint Louis, Mo
E••••• J•••• national BD
Jun 4, 2013 to Jul 15, 2014 · Maryland Heights, Mo

Moves

a registration end followed by a registration begin elsewhere

F••••••• F•••••••• A•••••••• L•• to O•••• W•••••• I•••
left Apr 22, 2026, registered Apr 22, 2026 (0 days) · RIA to affiliated broker-dealer or bank · moved with a team
I••••••••• A•••••• A•••••••• L•• to F••••••• F•••••••• A•••••••• L••
left Mar 15, 2024, registered Mar 15, 2024 (0 days) · RIA to RIA · moved with a team
E••••• J•••• to I••••••••• A•••••• A•••••••• L••
left Oct 15, 2021, registered Oct 14, 2021 (-1 days) · Affiliated broker-dealer or bank to independent RIA
W••••••••• A••••••• to E••••• J••••
left Oct 12, 2018, registered Jun 20, 2019 (251 days) · Other
S•••••••• I••••••••• M••••••••• to W••••••••• A•••••••
left Apr 19, 2017, registered Oct 19, 2017 (183 days) · Other
E••••• J•••• to S•••••••• I••••••••• M•••••••••
left Jul 15, 2014, registered Jun 27, 2016 (713 days) · Other

Signals

G•••••• S••••• R•••••••• left F••••••• F•••••••• A•••••••• L•• for O•••• W•••••• I••• (registered 2026-04-22)
Apr 22, 2026 · a•••••• firm change · fact
G•••••• S••••• R•••••••• left I••••••••• A•••••• A•••••••• L•• for F••••••• F•••••••• A•••••••• L•• (registered 2024-03-15)
Mar 15, 2024 · a•••••• firm change · 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: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address