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E•••• P••• S••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

E•••• P••• S••••••••

Advisor at D•••••••• • C•••••• L••

ROANOKE, VA

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Search this name across graphsid dfx:ria:00f29cce-ff95-04b9-1bb9-f06d1df4a5b6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Feb 23, 2026 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: D•••••••• • C•••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
D•••••••• • C•••••• L••	Bd affiliated wealth	May 4, 2026	n/a	yes	ROANOKE, VA	Current employment
F•••• C••••••• I••••••• S•••••••• I•••	Bd affiliated wealth	Feb 23, 2026	Apr 21, 2026	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
F•••• C••••••• I••••••• S•••••••• I•••	D•••••••• • C•••••• L••	Apr 21, 2026	May 4, 2026	13	Firm change	Ibd to ibd

Relationships

Registered with (2)

→ D•••••••• • C•••••• L••Registered adviserregistration: current employment
May 4, 2026 to presentfactForm ADV
→ F•••• C••••••• I••••••• S•••••••• I•••Registered adviserregistration: previous registration
Feb 23, 2026 to Apr 21, 2026factForm ADV

Dated events

Occurred
Apr 21, 2026
Advisor changed firm
E•••• P••• S•••••••• left F•••• C••••••• I••••••• S•••••••• I••• for D•••••••• • C•••••• L•• (registered 2026-05-04)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:00f29cce-ff95-04b9-1bb9-f06d1df4a5b6
First observed: Feb 23, 2026
Last observed: Sep 14, 2026 8 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.