DFX Intelligence

T•••• W•••• P•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

T•••• W•••• P•••••

Advisor at F••••••• F•••••••• A•••••••• L••

RALEIGH, NC

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Search this name across graphsid dfx:ria:04b488b2-f72d-2331-605e-3e0f018a301b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 9, 1998 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: F••••••• F•••••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 24, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
F••••••• F•••••••• A•••••••• L••	Independent wealth	Oct 3, 2014	n/a	yes	RALEIGH, NC	Current employment
S••••••• I••••••••• S•••••••• I•••	Former SEC adviser	Jan 3, 2005	Aug 22, 2014	no	CHAPEL HILL, NC\|CHAPEL HILL, NC\|CHAPEL HILL, NC\|PITTSBORO, NC\|CHAPEL HILL, NC\|CHAPEL HILL, NC\|CHAPEL HILL, NC\|PITTSBORO, NC\|PITTSBORO, NC\|CARY, NC\|DURHAM, NC\|CHAPEL HILL, NC\|GREENSBORO, NC\|KERNSVILLE, NC\|CHAPEL HILL, NC\|DURHAM, NC\|CARRBORO, NC\|CHAPEL HILL, NC\|CHAPEL HILL, NC\|CHAPEL HILL, NC\|CHAPEL HILL, NC\|PITTSBORO, NC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••• I••••••••• S•••••••• I•••	F••••••• F•••••••• A•••••••• L••	Aug 22, 2014	Oct 3, 2014	42	Firm change	Other
N•• F•••••••• S•••••••• I•••	S••••••• I••••••••• S•••••••• I•••	Jan 3, 2005	Jan 3, 2005

Relationships

Registered with (4)

→ F••••••• F•••••••• A•••••••• L••Registered adviserregistration: current employment
Oct 3, 2014 to presentfactForm ADV
→ S••••••• I••••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jan 3, 2005 to Aug 22, 2014factForm ADV
→ N•• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Sep 30, 2002 to Jan 3, 2005factForm ADV
→ I••••• F•••••••• C•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:04b488b2-f72d-2331-605e-3e0f018a301b
First observed: Jul 9, 1998
Last observed: Sep 14, 2026 9 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.