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

W•••••• P•••••• G•••••••••

L•• F•••••••• L••BD affiliatedLexington, Ncdual registrantIAPD 706322

Feed of 09/14/2026

Also filed as Skip G•••••••••

At current firm

1 y

since Dec 5, 2024

In the industry

45 y

since Nov 3, 1980 (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

L•• F•••••••• L•• BD affiliated current
since Dec 5, 2024 · Lexington, Nc
A••••••••• F•••••••• S•••••••• L•• national BD
Dec 14, 2018 to Nov 18, 2024 · Winston-Salem, Nc
O••••••••• • C•• I••• BD affiliated
Dec 9, 2010 to Dec 21, 2018 · Asheville, Nc
R•• C•••••• M••••••• L•• national BD
Jul 21, 2006 to Dec 17, 2010 · Winston-Salem, Nc
S•••• • S••••••••• L•• former
Dec 31, 2001 to Aug 2, 2006 · High Point, Nc

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••
left Nov 18, 2024, registered Dec 5, 2024 (17 days) · Affiliated broker-dealer or bank to another
O••••••••• • C•• I••• to A••••••••• F•••••••• S•••••••• L••
left Dec 21, 2018, registered Dec 14, 2018 (-7 days) · Affiliated broker-dealer or bank to another
R•• C•••••• M••••••• L•• to O••••••••• • C•• I•••
left Dec 17, 2010, registered Dec 9, 2010 (-8 days) · Other
S•••• • S••••••••• L•• to R•• C•••••• M••••••• L••
left Aug 2, 2006, registered Jul 21, 2006 (-12 days) · Other

Signals

W•••••• P•••••• G••••••••• left A••••••••• F•••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2024-12-05)
Nov 18, 2024 · 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: 45derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address