DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

A••• L••••••• S••••

Advisor at F••••••• P•••••• L•••••• L••

••• Locked

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Aug 27, 2018 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: F••••••• P•••••• L•••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jul 1, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
F••••••• P•••••• L•••••• L••	Independent wealth	Jun 17, 2024	n/a	yes	Raleigh, NC\|Hickory, NC\|RALEIGH, NC\|RALEIGH, NC	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Aug 27, 2018	Jun 20, 2024	no	HICKORY, NC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	F••••••• P•••••• L•••••• L••	Jun 20, 2024	Jun 17, 2024	-3	Firm change	Wirehouse to RIA

Relationships

Registered with (2)

→ F••••••• P•••••• L•••••• L••Registered adviserregistration: current employment
Jun 17, 2024 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Aug 27, 2018 to Jun 20, 2024factForm ADV

Dated events

Occurred
Jun 20, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Aug 27, 2018
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.