DFX Intelligence

T••••••• L•••• D•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)47 years in industry

T••••••• L•••• D•••••••

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

Durham, NC

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Search this name across graphsid dfx:ria:2412cedd-9d21-81e1-8f9c-20c5c70f4861

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Aug 27, 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: F••••••• F•••••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jul 19, 1979earliest registration or exam on IAPD
Years in industry: 47derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
F••••••• F•••••••• A•••••••• L••	Independent wealth	Oct 5, 2016	n/a	yes	Durham, NC	Current employment
I••••• F•••••••• C•••••••••	Former SEC adviser	Jan 11, 2006	Oct 6, 2016	no	morrisville, NC\|APPLETON, WI\|BOCA RATON, FL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I••••• F•••••••• C•••••••••	F••••••• F•••••••• A•••••••• L••	Oct 6, 2016	Oct 5, 2016	-1	Firm change	Other
N••••••• E••••••• M••••••••• C•	I••••• F•••••••• C•••••••••	Dec 9, 2005	Jan 11, 2006

Relationships

Registered with (3)

→ F••••••• F•••••••• A•••••••• L••Registered adviserregistration: current employment
Oct 5, 2016 to presentfactForm ADV
→ I••••• F•••••••• C•••••••••Registered adviserregistration: previous registration
Jan 11, 2006 to Oct 6, 2016factForm ADV
→ N••••••• E••••••• M••••••••• C•Registered adviserregistration: previous registration
Aug 27, 2001 to Dec 9, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2412cedd-9d21-81e1-8f9c-20c5c70f4861
First observed: Aug 27, 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.