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E••• R••• W•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor28 years in industry

E••• R••• W•••••

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

Surprise, AZ | CHARLOTTE, NC

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Search this name across graphsid dfx:ria:15fb11e0-76d2-f1db-4041-baf7f0e035d2

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Apr 6, 2004 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: I• F•••••••• A••••••• S••••••• L••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 13, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
I• F•••••••• A••••••• S••••••• L••	Independent wealth	Dec 18, 2024	n/a	yes	CHARLOTTE, NC\|Surprise, AZ	Current employment
H••••••••• G•••• E••••• • R••••••••• S•••••••••	Former SEC adviser	Dec 6, 2017	Jan 3, 2025	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
H••••••••• G•••• E••••• • R••••••••• S•••••••••	I• F•••••••• A••••••• S••••••• L••	Jan 3, 2025	Dec 18, 2024	-16	Firm change	RIA to ibd
V•••• C•••••• P•••••••• L••	H••••••••• G•••• E••••• • R••••••••• S•••••••••	Dec 12, 2017

Relationships

Registered with (4)

→ I• F•••••••• A••••••• S••••••• L••Registered adviserregistration: current employment
Dec 18, 2024 to presentfactForm ADV
→ H••••••••• G•••• E••••• • R••••••••• S•••••••••Registered adviserregistration: previous registration
Dec 6, 2017 to Jan 3, 2025factForm ADV
→ V•••• C•••••• P•••••••• L••Registered adviserregistration: previous registration
Jan 1, 2015 to Dec 12, 2017factForm ADV
→ S•• I••••••••• I•••

Dated events

Occurred
Jan 3, 2025
Advisor changed firm
E••• R••• W••••• left H••••••••• G•••• E••••• • R••••••••• S••••••••• for I• F•••••••• A••••••• S••••••• L•• (registered 2024-12-18)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:15fb11e0-76d2-f1db-4041-baf7f0e035d2
First observed: Apr 6, 2004
Last observed: Sep 15, 2026 7 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.