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••• M•••••• C••••••

I••••••••• A•••••• A•••••••• L••i••••••••• wealthCharlotte, NcIA-onlyIAPD 7464176

Certified Financial Planner

Feed of 09/14/2026

At current firm

0 y

since Jul 23, 2026

In the industry

13 y

since Sep 1, 2013 (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

I••••••••• A•••••• A•••••••• L•• i••••••••• wealth current
since Jul 23, 2026 · Charlotte, Nc
P•••••• A•••••• G••••• L•• BD affiliated
May 3, 2024 to Jul 20, 2026 · Pittsford, Ny
S••••••• • C•••••• A•••• M••••••••• I••• i••••••••• wealth
Mar 31, 2022 to Mar 31, 2023 · Jacksonville, Fl
B••••••• S••••••••• C•••• i••••••••• wealth
Jan 18, 2022 to Jan 31, 2022 · Rochester, Ny

Moves

a registration end followed by a registration begin elsewhere

P•••••• A•••••• G••••• L•• to I••••••••• A•••••• A•••••••• L••
left Jul 20, 2026, registered Jul 23, 2026 (3 days) · Affiliated broker-dealer or bank to independent RIA
S••••••• • C•••••• A•••• M••••••••• I••• to P•••••• A•••••• G••••• L••
left Mar 31, 2023, registered May 3, 2024 (399 days) · RIA to affiliated broker-dealer or bank
B••••••• S••••••••• C•••• to S••••••• • C•••••• A•••• M••••••••• I•••
left Jan 31, 2022, registered Mar 31, 2022 (59 days) · RIA to RIA

Signals

R••• M•••••• C•••••• left P•••••• A•••••• G••••• L•• for I••••••••• A•••••• A•••••••• L•• (registered 2026-07-23)
Jul 20, 2026 · a•••••• firm change · fact
R••• M•••••• C•••••• left S••••••• • C•••••• A•••• M••••••••• I••• for P•••••• A•••••• G••••• L•• (registered 2024-05-03)
Mar 31, 2023 · a•••••• firm change · fact
R••• M•••••• C•••••• left B••••••• S••••••••• C•••• for S••••••• • C•••••• A•••• M••••••••• I••• (registered 2022-03-31)
Jan 31, 2022 · a•••••• firm change · 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: I••••••••• WEALTHderived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address