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•••• L•••••• P••••

O•••• W•••••• I•••BD affiliatedStatesville, Ncdual registrantIAPD 714070

Feed of 09/14/2026

Also filed as D•••• L P••••

At current firm

1 y

since Jul 18, 2025

In the industry

41 y

since Jul 26, 1985 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

O•••• W•••••• I••• BD affiliated current
since Jul 18, 2025 · Statesville, Nc
L•• F•••••••• L•• BD affiliated
Jun 11, 2020 to Jul 18, 2025 · Statesville, Nc
W••••••• F•••••••• S•••••••• I••• former
Jul 25, 2008 to Jun 15, 2020 · Statesville, Nc
S••••••••• A•••••• A•••••••• I••• former
Mar 14, 2001 to Dec 31, 2003 · Statesville, Nc

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to O•••• W•••••• I•••
left Jul 18, 2025, registered Jul 18, 2025 (0 days) · Affiliated broker-dealer or bank to another
W••••••• F•••••••• S•••••••• I••• to L•• F•••••••• L••
left Jun 15, 2020, registered Jun 11, 2020 (-4 days) · Affiliated broker-dealer or bank to another · moved with a team
S••••••••• A•••••• A•••••••• I••• to W••••••• F•••••••• S•••••••• I•••
left Dec 31, 2003, registered Jul 25, 2008 (1668 days) · Other

Signals

D•••• L•••••• P•••• left L•• F•••••••• L•• for O•••• W•••••• I••• (registered 2025-07-18)
Jul 18, 2025 · 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: 41derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address