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M•••••• W••• G•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

M•••••• W••• G•••••

Advisor at C••••• I••••••••• A••••••• L••

CERRO GORDO, NC

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Search this name across graphsid dfx:ria:0615af07-a7a1-6545-c7e8-974136e195a6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 7, 2008 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: C••••• I••••••••• A••••••• 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: Feb 19, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 1derivedfrom 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
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Sep 5, 2025	n/a	yes	CERRO GORDO, NC	Current employment
A•••••• A••••••• S•••••••	Former SEC adviser	Mar 26, 2013	Sep 5, 2025	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
A•••••• A••••••• S•••••••	C••••• I••••••••• A••••••• L••	Sep 5, 2025	Sep 5, 2025	0	Bulk transfer	Ibd to ibd
L•• F•••••••• L••	A•••••• A••••••• S•••••••	Apr 16, 2013

Relationships

Registered with (3)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Sep 5, 2025 to presentfactForm ADV
→ A•••••• A••••••• S•••••••Registered adviserregistration: previous registration
Mar 26, 2013 to Sep 5, 2025factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Mar 7, 2008 to Apr 16, 2013factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0615af07-a7a1-6545-c7e8-974136e195a6
First observed: Mar 7, 2008
Last observed: Sep 14, 2026 7 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.