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

C•••• T••• M••••

L•• F•••••••• L••BD affiliatedCharlotte, Ncdual registrantIAPD 6253016

Certified Financial Planner

Feed of 09/14/2026

Also filed as C•••• T••• M••••

At current firm

1 y

since Aug 18, 2025

In the industry

12 y

since Oct 1, 2013 (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 Aug 18, 2025 · Charlotte, Nc
O•••• W•••••• I••• BD affiliated
Jun 14, 2024 to Aug 20, 2025 · Charlotte, Nc
S••••••••• A•••••• A•••••••• I••• former
Dec 19, 2019 to Jun 14, 2024 · Charlotte, Nc
L•• F•••••••• L•• BD affiliated
Mar 9, 2018 to Dec 23, 2019 · Atlanta, Ga
I•• A•••••••• L•• independent RIA
Sep 5, 2017 to Apr 25, 2018 · Mauldin, Sc
E••••• J•••• national BD
Feb 4, 2014 to Sep 3, 2017 · Greer, Sc

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to L•• F•••••••• L••
left Aug 20, 2025, registered Aug 18, 2025 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••
left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
L•• F•••••••• L•• to S••••••••• A•••••• A•••••••• I•••
left Dec 23, 2019, registered Dec 19, 2019 (-4 days) · Affiliated broker-dealer or bank to another
I•• A•••••••• L•• to L•• F•••••••• L••
left Apr 25, 2018, registered Mar 9, 2018 (-47 days) · RIA to RIA · moved with a team
E••••• J•••• to I•• A•••••••• L••
left Sep 3, 2017, registered Sep 5, 2017 (2 days) · Other

Signals

C•••• T••• M•••• left O•••• W•••••• I••• for L•• F•••••••• L•• (registered 2025-08-18)
Aug 20, 2025 · 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: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address