DFX Intelligence

C••• E•••••••• L••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

C••• E•••••••• L••••••

Advisor at P••• A••••• S••••••••• L••

Charlotte, NC | NEW YORK, NY

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Search this name across graphsid dfx:ria:16353995-6f25-e050-bce1-d6487da2526d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jul 6, 2005 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: P••• A••••• S••••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 6, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P••• A••••• S••••••••• L••	Bd affiliated wealth	Mar 2, 2023	n/a	yes	NEW YORK, NY\|Charlotte, NC	Current employment
W•••• A•••••••	Independent wealth	Nov 18, 2021	Jan 6, 2023	no	CHARLOTTE, NC	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• A•••••••	P••• A••••• S••••••••• L••	Jan 6, 2023	Mar 2, 2023	55	Firm change	RIA to ibd
E•••••• C•••••• M••••••••• L••	W•••• A•••••••	Dec 31, 2005	Nov 18, 2021

Relationships

Registered with (3)

→ P••• A••••• S••••••••• L••Registered adviserregistration: current employment
Mar 2, 2023 to presentfactForm ADV
→ W•••• A•••••••Registered adviserregistration: previous registration
Nov 18, 2021 to Jan 6, 2023factForm ADV
→ E•••••• C•••••• M••••••••• L••Registered adviserregistration: previous registration
Jul 6, 2005 to Dec 31, 2005factForm ADV

Dated events

Occurred
Jan 6, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:16353995-6f25-e050-bce1-d6487da2526d
First observed: Jul 6, 2005
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.