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••••• R••••••

M•• C•••••• M••••••••• L••independent RIACharlotte, NcIA-onlyIAPD 7248495

Feed of 09/14/2026

Also filed as L••••• R••••••

At current firm

0 y

since Feb 12, 2026

In the industry

10 y

since May 1, 2016 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M•• C•••••• M••••••••• L•• independent RIA current
since Feb 12, 2026 · Charlotte, Nc
P••• A••••• S••••••••• L•• BD affiliated
Jul 8, 2025 to Nov 6, 2025 · Charlotte, Nc
A••••• F•••••••• A•••••••• L•• independent RIA
Nov 27, 2023 to Feb 7, 2024 · Charlotte, Nc
E•••••• F•••••••• E•••••• independent RIA
Jul 28, 2020 to Feb 24, 2023 · Phoenix, Az

Moves

a registration end followed by a registration begin elsewhere

P••• A••••• S••••••••• L•• to M•• C•••••• M••••••••• L••
left Nov 6, 2025, registered Feb 12, 2026 (98 days) · Affiliated broker-dealer or bank to independent RIA
A••••• F•••••••• A•••••••• L•• to P••• A••••• S••••••••• L••
left Feb 7, 2024, registered Jul 8, 2025 (517 days) · RIA to affiliated broker-dealer or bank
E•••••• F•••••••• E•••••• to A••••• F•••••••• A•••••••• L••
left Feb 24, 2023, registered Nov 27, 2023 (276 days) · RIA to RIA · moved with a team

Signals

L••••• R•••••• left P••• A••••• S••••••••• L•• for M•• C•••••• M••••••••• L•• (registered 2026-02-12)
Nov 6, 2025 · Advisor changed firm · fact
L••••• R•••••• left A••••• F•••••••• A•••••••• L•• for P••• A••••• S••••••••• L•• (registered 2025-07-08)
Feb 7, 2024 · Advisor changed firm · fact
L••••• R•••••• left E•••••• F•••••••• E•••••• for A••••• F•••••••• A•••••••• L•• (registered 2023-11-27)
Feb 24, 2023 · 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