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R•••••• L•• F•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

R•••••• L•• F•••••

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

RALEIGH, NC | Winston-Salem, NC

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Search this name across graphsid dfx:ria:1824c930-e2a4-df32-56d4-23ddc4871ed0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Dec 31, 2001 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: C•••••• I••••••••• A••••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 4, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 17derivedfrom 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
C•••••• I••••••••• A••••••• S•••••••• L••	Bd affiliated wealth	Apr 1, 2009	n/a	yes	RALEIGH, NC\|Winston-Salem, NC	Current employment
C•• A•••••••• L••	n/a	Feb 23, 2005	Dec 31, 2012	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
C•• A•••••••• L••	C•••••• I••••••••• A••••••• S•••••••• L••	Dec 31, 2012	Apr 1, 2009	-1,370	Bulk transfer	Other
P••• A••••• S••••••••• L••	C•• A•••••••• L••	Feb 8, 2005

Relationships

Registered with (4)

→ C•••••• I••••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Apr 1, 2009 to presentfactForm ADV
→ C•• A•••••••• L••Registered adviserregistration: previous registration
Feb 23, 2005 to Dec 31, 2012factForm ADV
→ P••• A••••• S••••••••• L••Registered adviserregistration: previous registration
Apr 1, 2004 to Feb 8, 2005factForm ADV
→ C••• A••••••• S•••••••Registered adviserregistration: previous registration

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1824c930-e2a4-df32-56d4-23ddc4871ed0
First observed: Dec 31, 2001
Last observed: Sep 14, 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.