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

D•••• N•••••

E•••••• A••••••• G••••• L••BD affiliatedCharlotte, Nc dual registrantIAPD 6783701

Feed of 09/14/2026

Also filed as D•••• N•••••

At current firm

0 y

since Jun 2, 2026

In the industry

10 y

since Dec 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

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

E•••••• A••••••• G••••• L•• BD affiliated current
since Jun 2, 2026 · Charlotte, Nc
C•••••• S••••• • C••• I••• national BD
Oct 13, 2022 to May 16, 2026 · Charlotte, Nc
T• A••••••••• I••••••••• M••••••••• L•• former
Jan 31, 2022 to Oct 17, 2022 · Huntersville, Nc
T• A••••••••• I••• former
Jan 31, 2022 to Oct 14, 2022 · Huntersville, Nc
W•••• F•••• A••••••• wirehouse
Sep 14, 2017 to Jan 19, 2022 · Charlotte, Nc

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to E•••••• A••••••• G••••• L••
left May 16, 2026, registered Jun 2, 2026 (17 days) · Affiliated broker-dealer or bank to another
T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
left Oct 17, 2022, registered Oct 13, 2022 (-4 days) · channel change inside one enterprise, not a move
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Oct 14, 2022, registered Jan 31, 2022 (-256 days) · corporate re-registration, not a move
W•••• F•••• A••••••• to T• A••••••••• I•••
left Jan 19, 2022, registered Jan 31, 2022 (12 days) · Other

Signals

D•••• N••••• left C•••••• S••••• • C••• I••• for E•••••• A••••••• G••••• L•• (registered 2026-06-02)
May 16, 2026 · Advisor changed firm · fact
D•••• N••••• left W•••• F•••• A••••••• for T• A••••••••• I••• (registered 2022-01-31)
Jan 19, 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