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••••• R•••••• E•••••

C•••••• A••••••• S•••••••• L••independent RIABelmont, Nc IA-onlyIAPD 6345449

Feed of 09/14/2026

Also filed as C••••• R•••••• E•••••

At current firm

1 y

since Feb 27, 2025

In the industry

11 y

since Jun 1, 2015 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••• A••••••• S•••••••• L•• independent RIA current
since Feb 27, 2025 · Belmont, Nc
A••••••••• F•••••••• S•••••••• L•• national BD
Oct 24, 2024 to Jan 16, 2025 · Charlotte, Nc
L••••• T••••• A••••••• S•••••••• L•• independent RIA
Mar 22, 2023 to Dec 26, 2023 · Charlotte, Nc
F••••• I••••••••• independent RIA
Nov 19, 2019 to Sep 15, 2021 · Plano, Tx
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jul 5, 2017 to Oct 1, 2019 · South Portland, Me
M•• I•••••••• S•••••••• L•• BD affiliated
Mar 25, 2017 to Jun 14, 2017 · Falmouth, Me
M•• F•••••••• S•••••••• I••• former
Jan 21, 2016 to Mar 25, 2017 · Falmouth, Me

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to C•••••• A••••••• S•••••••• L••
left Jan 16, 2025, registered Feb 27, 2025 (42 days) · Affiliated broker-dealer or bank to independent RIA
L••••• T••••• A••••••• S•••••••• L•• to A••••••••• F•••••••• S•••••••• L••
left Dec 26, 2023, registered Oct 24, 2024 (303 days) · RIA to affiliated broker-dealer or bank
F••••• I••••••••• to L••••• T••••• A••••••• S•••••••• L••
left Sep 15, 2021, registered Mar 22, 2023 (553 days) · RIA to RIA
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••• I•••••••••
left Oct 1, 2019, registered Nov 19, 2019 (49 days) · Wirehouse to independent RIA
M•• I•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jun 14, 2017, registered Jul 5, 2017 (21 days) · Other
M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••
left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move

Signals

C••••• R•••••• E••••• left A••••••••• F•••••••• S•••••••• L•• for C•••••• A••••••• S•••••••• L•• (registered 2025-02-27)
Jan 16, 2025 · Advisor changed firm · fact
C••••• R•••••• E••••• left L••••• T••••• A••••••• S•••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2024-10-24)
Dec 26, 2023 · 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: Independent wealth managerderived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address