DFX Intelligence

R•••••• J••• B••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)40 years in industry

R•••••• J••• B••••

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

Charlotte, NC

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Search this name across graphsid dfx:ria:0e42db4a-6cdd-1265-93bc-b9347be72ae7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 8, 2000 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: G•••••••• F•••••••• A•••••••• L••
Current firm class: institutional managerderived
Book size: not public••• Locked
Industry start: May 29, 1986earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
G•••••••• F•••••••• A•••••••• L••	Institutional manager	Apr 15, 2022	n/a	yes	Charlotte, NC	Current employment
K••••• A••••••• S•••••••• L••	Bd affiliated wealth	Apr 28, 2016	Mar 31, 2022	no	CHARLOTTE,, NC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
K••••• A••••••• S•••••••• L••	G•••••••• F•••••••• A•••••••• L••	Mar 31, 2022	Apr 15, 2022	15	Bulk transfer	Other
N•• A•••••• S•••••••• L••	K••••• A••••••• S•••••••• L••	Sep 22, 2016	Apr 28, 2016

Relationships

Registered with (6)

→ G•••••••• F•••••••• A•••••••• L••Registered adviserregistration: current employment
Apr 15, 2022 to presentfactForm ADV
→ K••••• A••••••• S•••••••• L••Registered adviserregistration: previous registration
Apr 28, 2016 to Mar 31, 2022factForm ADV
→ N•• A•••••• S•••••••• L••Registered adviserregistration: previous registration
Jan 16, 2009 to Sep 22, 2016factForm ADV
→ T••• M•••••• C•••••• M••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0e42db4a-6cdd-1265-93bc-b9347be72ae7
First observed: Mar 8, 2000
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.