DFX Intelligence

R•••••• N••• Y•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

R•••••• N••• Y•••••

Advisor at R•••••• J•••• F•••••••• S••••••• A•••••••• I••

Bermuda Run, NC | CORNELIUS, NC

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Apr 18, 2002 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: R•••••• J•••• F•••••••• S••••••• A•••••••• I••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 6, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Bd affiliated wealth	Feb 26, 2016	n/a	yes	Bermuda Run, NC\|CORNELIUS, NC	Current employment
S•••••••• I••••••••• N•••• I•••	State registered	Aug 9, 2012	Nov 18, 2014	no	CHARLOTTE, NC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••••• I••••••••• N•••• I•••	R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Nov 18, 2014	Feb 26, 2016	465	Firm change after gap	Other
O•••• F•• I•••	S•••••••• I••••••••• N•••• I•••	Apr 20, 2011	Aug 9, 2012

Relationships

Registered with (3)

→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserregistration: current employment
Feb 26, 2016 to presentfactForm ADV
→ S•••••••• I••••••••• N•••• I•••Registered adviserregistration: previous registration
Aug 9, 2012 to Nov 18, 2014factForm ADV
→ O•••• F•• I•••Registered adviserregistration: previous registration
Apr 18, 2002 to Apr 20, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Apr 18, 2002
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.