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•••••• W••••••

L•• F•••••••• L••BD affiliatedNewport, Nc dual registrantIAPD 6673717

Feed of 09/15/2026

Also filed as A•••••• W••••••

At current firm

1 y

since May 16, 2025

In the industry

10 y

since Jun 1, 2016 (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 May 16, 2025 · Fort Mill, Sc
A••• I••••• A••••••• independent RIA
Jan 25, 2024 to May 20, 2025 · Charlotte, Nc
A••••• F•••••••• A•••••••• L•• independent RIA
Oct 25, 2023 to Jan 3, 2024 · Beaufort, Nc
A••••• A•• P••••••• S••••••• BD affiliated
Jul 25, 2018 to Apr 13, 2022 · Charlotte, Nc
W•••• F•••• A••••••• wirehouse
Oct 4, 2016 to May 15, 2018 · Gaithersburg, Md

Moves

a registration end followed by a registration begin elsewhere

A••• I••••• A••••••• to L•• F•••••••• L••
left May 20, 2025, registered May 16, 2025 (-4 days) · RIA to affiliated broker-dealer or bank
A••••• F•••••••• A•••••••• L•• to A••• I••••• A•••••••
left Jan 3, 2024, registered Jan 25, 2024 (22 days) · RIA to RIA
A••••• A•• P••••••• S••••••• to A••••• F•••••••• A•••••••• L••
left Apr 13, 2022, registered Oct 25, 2023 (560 days) · Affiliated broker-dealer or bank to independent RIA
W•••• F•••• A••••••• to A••••• A•• P••••••• S•••••••
left May 15, 2018, registered Jul 25, 2018 (71 days) · Wirehouse to affiliated broker-dealer or bank

Signals

A•••••• W•••••• left A••• I••••• A••••••• for L•• F•••••••• L•• (registered 2025-05-16)
May 20, 2025 · Advisor changed firm · fact
A•••••• W•••••• left A••••• F•••••••• A•••••••• L•• for A••• I••••• A••••••• (registered 2024-01-25)
Jan 3, 2024 · Advisor changed firm · fact
A•••••• W•••••• left A••••• A•• P••••••• S••••••• for A••••• F•••••••• A•••••••• L•• (registered 2023-10-25)
Apr 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: Broker-dealer affiliated wealth managerderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address