DFX Intelligence

R••••• G••••••• T••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

R••••• G••••••• T••••••••

Advisor at G••• L••• A•••••••• L••

Columbia, SC | CELEBRATION, FL

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Search this name across graphsid dfx:ria:0cc83d7a-7e11-a512-6ce4-36d912a41a7f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: May 29, 1997 to Sep 15, 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: G••• L••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jun 23, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
G••• L••• A•••••••• L••	Independent wealth	Jul 28, 2016	n/a	yes	Columbia, SC\|CELEBRATION, FL	Current employment
W•••••• • R•••	Former SEC adviser	May 29, 1997	Aug 6, 2016	no	ORANGEBURG, SC\|COLUMBIA, SC\|ORANGEBURG, SC\|ORANGEBURG, SC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••••• • R•••	G••• L••• A•••••••• L••	Aug 6, 2016	Jul 28, 2016	-9	Firm change	Other

Team moves

••• Locked

Team	Left	Joined	From	Kind
866:171898:SC:2016-08-06	Aug 6, 2016	Jul 28, 2016	ORANGEBURG, SC	Firm change

Relationships

Registered with (2)

→ G••• L••• A•••••••• L••Registered adviserregistration: current employment
Jul 28, 2016 to presentfactForm ADV
→ W•••••• • R•••Registered adviserregistration: previous registration
May 29, 1997 to Aug 6, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0cc83d7a-7e11-a512-6ce4-36d912a41a7f
First observed: May 29, 1997
Last observed: Sep 15, 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.