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

S••••• D••• T•••••

O•••• W•••••• I•••BD affiliatedCharlotte, Nc dual registrantIAPD 717883

Feed of 09/14/2026

Also filed as D••• T•••••

At current firm

2 y

since Jan 19, 2024

In the industry

45 y

since Nov 6, 1980 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

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 Jan 19, 2024 · Charlotte, Nc
W••••••• F•••••••• S•••••••• I••• former
Mar 1, 2019 to Jan 19, 2024 · Charlotte, Nc
Q•••••• A•••• M••••••••• I••• former
Dec 5, 2016 to Mar 1, 2019 · Charlotte, Nc
C•••••• G••••••• W••••• M••••••••• L•• former
Oct 29, 2010 to Dec 2, 2016 · Miami, Fl
A••••••• • S••••••••• I••••••••• former
May 19, 2006 to Nov 1, 2010 · Charlotte, Nc
C•••••••• G••••• M•••••• I••• BD affiliated
May 3, 2004 to May 26, 2006 · Charlotte, Nc
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Aug 8, 2002 to May 10, 2004 · Salisbury, Nc
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
May 9, 2002 to Jul 25, 2002 · Salisbury, Nc

Moves

a registration end followed by a registration begin elsewhere

W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••
left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
Q•••••• A•••• M••••••••• I••• to W••••••• F•••••••• S•••••••• I•••
left Mar 1, 2019, registered Mar 1, 2019 (0 days) · corporate re-registration, not a move
C•••••• G••••••• W••••• M••••••••• L•• to Q•••••• A•••• M••••••••• I•••
left Dec 2, 2016, registered Dec 5, 2016 (3 days) · Other
A••••••• • S••••••••• I••••••••• to C•••••• G••••••• W••••• M••••••••• L••
left Nov 1, 2010, registered Oct 29, 2010 (-3 days) · Other
C•••••••• G••••• M•••••• I••• to A••••••• • S••••••••• I•••••••••
left May 26, 2006, registered May 19, 2006 (-7 days) · Other
B••• O• A•••••• I••••••••• S•••••••• I••• to C•••••••• G••••• M•••••• I•••
left May 10, 2004, registered May 3, 2004 (-7 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Jul 25, 2002, registered Aug 8, 2002 (14 days) · Other

Signals

No dated event on this person.

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