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

P•••••• R••••• C•••••••

A••••••• W••••• A•••••••BD affiliatedWaterford, VaIA-onlyIAPD 871271

Chartered Financial Consultant

Feed of 09/14/2026

At current firm

1 y

since Oct 2, 2024

In the industry

43 y

since Jan 24, 1983 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A••••••• W••••• A••••••• BD affiliated current
since Oct 2, 2024 · Waterford, Va
O•••• A••••••• S•••••••• L•• BD affiliated
Nov 30, 2021 to Oct 8, 2024 · Atlanta, Ga
A•• W••••• I••• former
Sep 12, 2011 to Nov 30, 2021 · Asheville, Nc
C••••••• A••••••• G•••• unclassified
Apr 19, 2011 to Nov 3, 2011 · Asheville, Nc
C••••••••• W••••• M••••••••• former
Jul 17, 2009 to Jul 28, 2011 · Asheville, Nc
C••••••• A••••••• G•••• unclassified
Jul 8, 1991 to Sep 1, 2009 · Birmingham, Al

Moves

a registration end followed by a registration begin elsewhere

O•••• A••••••• S•••••••• L•• to A••••••• W••••• A•••••••
left Oct 8, 2024, registered Oct 2, 2024 (-6 days) · Affiliated broker-dealer or bank to another
A•• W••••• I••• to O•••• A••••••• S•••••••• L••
left Nov 30, 2021, registered Nov 30, 2021 (0 days) · RIA to affiliated broker-dealer or bank
C••••••• A••••••• G•••• to A•• W••••• I•••
left Nov 3, 2011, registered Sep 12, 2011 (-52 days) · Other
C••••••••• W••••• M••••••••• to C••••••• A••••••• G••••
left Jul 28, 2011, registered Apr 19, 2011 (-100 days) · Other
C••••••• A••••••• G•••• to C••••••••• W••••• M•••••••••
left Sep 1, 2009, registered Jul 17, 2009 (-46 days) · Other

Signals

P•••••• R••••• C••••••• left O•••• A••••••• S•••••••• L•• for A••••••• W••••• A••••••• (registered 2024-10-02)
Oct 8, 2024 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 43derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address