DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

R••••• C•••• W•••••••

Advisor at C•••••• I••••••••• A••••••• S•••••••• L••

HIAWASSEE, GA | RALEIGH, NC

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Search this name across graphsid dfx:ria:165badcd-f804-ff2c-da8c-a6017e9e0cef

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

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 20, 2003 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: C•••••• I••••••••• A••••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Dec 11, 1991earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 16derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• I••••••••• A••••••• S•••••••• L••	Bd affiliated wealth	Jan 15, 2010	n/a	yes	RALEIGH, NC\|HIAWASSEE, GA	Current employment
E•• F•••••••• A•••••••	Independent wealth	Dec 16, 2008	Dec 31, 2009	no	CHARLOTTE, NC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E•• F•••••••• A•••••••	C•••••• I••••••••• A••••••• S•••••••• L••	Dec 31, 2009	Jan 15, 2010	15	Firm change	Other
V••••••• I••••••••• A•••••••• I•••	E•• F•••••••• A•••••••	Dec 9, 2003	Dec 19, 2003

Relationships

Registered with (3)

→ C•••••• I••••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Jan 15, 2010 to presentfactForm ADV
→ E•• F•••••••• A•••••••Registered adviserregistration: previous registration
Dec 16, 2008 to Dec 31, 2009factForm ADV
→ V••••••• I••••••••• A•••••••• I•••Registered adviserregistration: previous registration
Oct 20, 2003 to Dec 9, 2003factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:165badcd-f804-ff2c-da8c-a6017e9e0cef
First observed: Oct 20, 2003
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.