DFX Intelligence

S•••• A••••• T••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

S•••• A••••• T••••••

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

Raleigh, NC | RALEIGH, NC

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Search this name across graphsid dfx:ria:13af6247-b6d3-c681-b1d5-3319e936f27d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 14, 2004 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jun 17, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Sep 13, 2019	n/a	yes	RALEIGH, NC\|Raleigh, NC\|Raleigh, NC	Current employment
W•••• F•••• A•••••••	Wirehouse	Mar 3, 2011	Sep 18, 2019	no	RALEIGH, NC	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	A••••••••• F•••••••• S•••••••• L••	Sep 18, 2019	Sep 13, 2019	-5	Firm change	Wirehouse to ibd
P•••••••• S••••••••• I•••	W•••• F•••• A•••••••	Mar 7, 2011	Mar 3, 2011

Relationships

Registered with (4)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Sep 13, 2019 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Mar 3, 2011 to Sep 18, 2019factForm ADV
→ P•••••••• S••••••••• I•••Registered adviserregistration: previous registration
Jan 3, 2008 to Mar 7, 2011factForm ADV
→ V•••• F•••••••• A•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:13af6247-b6d3-c681-b1d5-3319e936f27d
First observed: Jul 14, 2004
Last observed: Sep 14, 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.