DFX Intelligence

R•••• N•••• S•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)38 years in industry

R•••• N•••• S•••••••

Advisor at G••••• R••••••••• P••••••• L••

Aiken, SC | SAN RAFAEL, CA

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Search this name across graphsid dfx:ria:0f11f99f-c4c1-225e-5778-13e5b81099fb

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jan 10, 2003 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••••• R••••••••• P••••••• L••
Current firm class: institutional managerderived
Book size: not public••• Locked
Industry start: Jan 11, 1988earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
G••••• R••••••••• P••••••• L••	Institutional manager	Jul 17, 2024	n/a	yes	Aiken, SC\|SAN RAFAEL, CA	Current employment
O•••• F•• I•••	Former SEC adviser	Sep 20, 2011	Jul 19, 2024	no	AIKEN, SC\|AIKEN, SC\|COLUMBIA, SC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O•••• F•• I•••	G••••• R••••••••• P••••••• L••	Jul 19, 2024	Jul 17, 2024	-2	Firm change	Other
A• W••••• M•••••••••	O•••• F•• I•••	Sep 1, 2011	Sep 20, 2011

Team moves

••• Locked

Team	Left	Joined	From	Kind
3870:172011:SC:2024-07-17	Jul 19, 2024	Jul 17, 2024	COLUMBIA, SC	Firm change

Relationships

Registered with (5)

→ G••••• R••••••••• P••••••• L••Registered adviserregistration: current employment
Jul 17, 2024 to presentfactForm ADV
→ O•••• F•• I•••Registered adviserregistration: previous registration
Sep 20, 2011 to Jul 19, 2024factForm ADV
→ A• W••••• M•••••••••Registered adviserregistration: previous registration
Apr 20, 2011 to Sep 1, 2011factForm ADV
→ •••• M•••••• • S••••••• W••••• M••••••••• L••

Dated events

Occurred
Jul 19, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0f11f99f-c4c1-225e-5778-13e5b81099fb
First observed: Jan 10, 2003
Last observed: Sep 15, 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.