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••• M•••••• L•••••••

I•• A•••••••• L••independent RIAMooresville, Nc IA-onlyIAPD 6984151

Certified Financial Planner

Feed of 09/15/2026

At current firm

0 y

since Mar 13, 2026

In the industry

10 y

since Jul 1, 2016 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

I•• A•••••••• L•• independent RIA current
since Mar 13, 2026 · Atlanta, Ga
M•• A•••• M••••••••• L•• mixed wealth
Jan 22, 2025 to Nov 21, 2025 · Charlotte, Nc
M•• S••••••••• L•• no RAUM
Jan 17, 2024 to Nov 21, 2025 · Charlotte, Nc
L•• F•••••••• L•• BD affiliated
Oct 30, 2018 to Jan 19, 2022 · Greensboro, Nc

Moves

a registration end followed by a registration begin elsewhere

M•• A•••• M••••••••• L•• to I•• A•••••••• L••
left Nov 21, 2025, registered Mar 13, 2026 (112 days) · RIA to RIA
M•• S••••••••• L•• to M•• A•••• M••••••••• L••
left Nov 21, 2025, registered Jan 22, 2025 (-303 days) · Other
L•• F•••••••• L•• to M•• S••••••••• L••
left Jan 19, 2022, registered Jan 17, 2024 (728 days) · Other

Signals

C••• M•••••• L••••••• left M•• A•••• M••••••••• L•• for I•• A•••••••• L•• (registered 2026-03-13)
Nov 21, 2025 · Advisor changed firm · fact
C••• M•••••• L••••••• left M•• S••••••••• L•• for M•• A•••• M••••••••• L•• (registered 2025-01-22)
Nov 21, 2025 · Advisor changed firm · fact
C••• M•••••• L••••••• left L•• F•••••••• L•• for M•• S••••••••• L•• (registered 2024-01-17)
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: Independent wealth managerderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address