DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)35 years in industry

W•••••• R••••• M•••••••••

Advisor at O•••• W•••••• I•••

HOLLY SPRINGS, NC

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Search this name across graphsid dfx:ria:25c09e3c-bcb8-f551-0338-8e6b4bb5942e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:44 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 12, 2005 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: O•••• W•••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Feb 1, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• W•••••• I•••	Bd affiliated wealth	Aug 23, 2024	n/a	yes	HOLLY SPRINGS, NC	Current employment
T•••• A•••••••• L••	Former SEC adviser	May 9, 2019	Aug 23, 2024	no	MARIETTA, GA\|MARIETTA, GA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T•••• A•••••••• L••	O•••• W•••••• I•••	Aug 23, 2024	Aug 23, 2024	0	Bulk transfer	Ibd to ibd
S•••••••••	T•••• A•••••••• L••	Aug 14, 2019	May 9, 2019

Team moves

••• Locked

Team	Left	Joined	From	Kind
119040:25803:GA:2019-08-14	Aug 14, 2019	May 9, 2019	MARRIETTA, GA	Firm change after gap
126317:119040:GA:2015-10-07	Oct 7, 2015	Apr 25, 2015	MARIETTA, GA	Firm change after gap

Relationships

Registered with (4)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
Aug 23, 2024 to presentfactForm ADV
→ T•••• A•••••••• L••Registered adviserregistration: previous registration
May 9, 2019 to Aug 23, 2024factForm ADV
→ S•••••••••Registered adviserregistration: previous registration
Apr 25, 2015 to Aug 14, 2019factForm ADV
→ V••••• F••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:25c09e3c-bcb8-f551-0338-8e6b4bb5942e
First observed: Oct 12, 2005
Last observed: Sep 14, 2026 9 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.