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

L•••• M•••• O••••

T•• I••••••••• A•••• M••••••••• L••independent RIACharlotte, Nc dual registrantIAPD 7141221

Certified Financial Planner

Feed of 09/15/2026

Also filed as L•••• M O••••

At current firm

0 y

since Feb 12, 2026

In the industry

10 y

since Aug 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

T•• I••••••••• A•••• M••••••••• L•• independent RIA current
since Feb 12, 2026 · Charlotte, Nc
C•••••• S••••• • C••• I••• national BD
Aug 14, 2023 to Oct 8, 2025 · Huntersville, Nc
T• A••••••••• I••••••••• M••••••••• L•• former
Dec 14, 2021 to Sep 7, 2023 · Huntersville, Nc
T• A••••••••• I••• former
Dec 14, 2021 to Oct 14, 2022 · Huntersville, Nc
C•••••• S••••• • C••• I••• national BD
Dec 9, 2019 to Dec 14, 2021 · Indianapolis, In

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to T•• I••••••••• A•••• M••••••••• L••
left Oct 8, 2025, registered Feb 12, 2026 (127 days) · Affiliated broker-dealer or bank to independent RIA
T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
left Sep 7, 2023, registered Aug 14, 2023 (-24 days) · corporate re-registration, not a move
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Oct 14, 2022, registered Dec 14, 2021 (-304 days) · corporate re-registration, not a move
C•••••• S••••• • C••• I••• to T• A••••••••• I•••
left Dec 14, 2021, registered Dec 14, 2021 (0 days) · channel change inside one enterprise, not a move · moved with a team

Signals

L•••• M•••• O•••• left C•••••• S••••• • C••• I••• for T•• I••••••••• A•••• M••••••••• L•• (registered 2026-02-12)
Oct 8, 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: Independent wealth managerderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address