DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

N••• M•••• S•••••

Advisor at A•• A•••••••• L••

RALEIGH, NC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1435baf3-c450-f099-fa87-0aff1d551190

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Dec 21, 2006 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•• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Dec 20, 2006earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A•• A•••••••• L••	Independent wealth	Apr 26, 2023	n/a	yes	RALEIGH, NC	Current employment
T•••• A•••••••• L••	Former SEC adviser	Nov 17, 2015	Apr 27, 2023	no	Raleigh, NC\|ATLANTA, GA\|Raleigh, NC	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T•••• A•••••••• L••	A•• A•••••••• L••	Apr 27, 2023	Apr 26, 2023	-1	Firm change	Ibd to new firm
C•••••• G••••••• W••••• M••••••••• L••	T•••• A•••••••• L••	Nov 17, 2015	Nov 17, 2015

Team moves

••• Locked

Team	Left	Joined	From	Kind
131631:25803:NC:2015-11-17	Nov 17, 2015	Nov 17, 2015	RALEIGH, NC	Firm change

Relationships

Registered with (5)

→ A•• A•••••••• L••Registered adviserregistration: current employment
Apr 26, 2023 to presentfactForm ADV
→ T•••• A•••••••• L••Registered adviserregistration: previous registration
Nov 17, 2015 to Apr 27, 2023factForm ADV
→ C•••••• G••••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Feb 17, 2010 to Nov 17, 2015factForm ADV
→ G•••••••• F••••••••• I••Registered adviser

Dated events

Occurred
Apr 27, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1435baf3-c450-f099-fa87-0aff1d551190
First observed: Dec 21, 2006
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.