DFX Intelligence

N••••• A••••• G••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

N••••• A••••• G••••••

Advisor at A•••••••• F•••• M••••••••• L••

Charlotte, NC

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Search this name across graphsid dfx:ria:1a4687d6-f4e6-706d-9287-4a1439e64591

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jun 25, 2004 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•••••••• F•••• M••••••••• L••
Current firm class: asset managerderived
Book size: not public••• Locked
Industry start: Jun 24, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A•••••••• F•••• M••••••••• L••	Asset manager	Dec 27, 2016	n/a	yes	Charlotte, NC\|Charlotte, NC	Current employment
A•••••••• F•••• M••••••••• L••	Asset manager	Feb 26, 2014	Dec 31, 2014	no	CHARLOTTE, NC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••• A•• P••••••• S•••••••	A•••••••• F•••• M••••••••• L••	Feb 24, 2014	Feb 26, 2014	2	Firm change	Other
L•• F•••••••• L••	A••••• A•• P••••••• S•••••••	Jan 24, 2013	Feb 1, 2013

Relationships

Registered with (5)

→ A•••••••• F•••• M••••••••• L••Registered adviserregistration: previous registration
Feb 26, 2014 to Dec 31, 2014factForm ADV
→ A••••• A•• P••••••• S•••••••Registered adviserregistration: previous registration
Feb 1, 2013 to Feb 24, 2014factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
May 14, 2008 to Jan 24, 2013factForm ADV
→ B••• O• A•••••• I••••••••• S•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1a4687d6-f4e6-706d-9287-4a1439e64591
First observed: Jun 25, 2004
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.