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

R•••••• T••••• C•••••

U••• I••••••••• S••••••• C••••••no RAUMCharlotte, Nc dual registrantIAPD 7152588

Feed of 09/15/2026

Also filed as R•••••• C•••••

At current firm

0 y

since Aug 4, 2026

In the industry

12 y

since Jan 1, 2014 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

U••• I••••••••• S••••••• C•••••• no RAUM current
since Aug 4, 2026 · San Antonio, Tx
A••• I••••• A••••••• independent RIA
Mar 22, 2022 to Aug 26, 2024 · Charlotte, Nc
T••••• A••••••• S•••••••• I••• BD affiliated
Jul 16, 2021 to Feb 14, 2022 · Charlotte, Nc
V••••••• A•••••••• I••• BD affiliated
Oct 27, 2020 to Jul 16, 2021 · Charlotte, Nc

Moves

a registration end followed by a registration begin elsewhere

A••• I••••• A••••••• to U••• I••••••••• S••••••• C••••••
left Aug 26, 2024, registered Aug 4, 2026 (708 days) · Other
T••••• A••••••• S•••••••• I••• to A••• I••••• A•••••••
left Feb 14, 2022, registered Mar 22, 2022 (36 days) · Affiliated broker-dealer or bank to independent RIA
V••••••• A•••••••• I••• to T••••• A••••••• S•••••••• I•••
left Jul 16, 2021, registered Jul 16, 2021 (0 days) · Affiliated broker-dealer or bank to another

Signals

R•••••• T••••• C••••• left A••• I••••• A••••••• for U••• I••••••••• S••••••• C•••••• (registered 2026-08-04)
Aug 26, 2024 · Advisor changed firm · fact
R•••••• T••••• C••••• left T••••• A••••••• S•••••••• I••• for A••• I••••• A••••••• (registered 2022-03-22)
Feb 14, 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: No RAUM reportedderived
Years in industry: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address