DFX Intelligence

S•••• M•••••• A••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)14 years in industry

S•••• M•••••• A••••

Advisor at V••••••• A•••••••• I•••

CHARLOTTE, NC

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Search this name across graphs

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Dec 22, 2022 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: V••••••• A•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 1, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
V••••••• A•••••••• I•••	Bd affiliated wealth	Apr 13, 2026	n/a	yes	CHARLOTTE, NC	Current employment
N•••••• A•••••••	Bd affiliated wealth	Jan 14, 2025	Jan 13, 2026	no	Columbia, MO\|NEW ORLEANS, LA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N•••••• A•••••••	V••••••• A•••••••• I•••	Jan 13, 2026	Apr 13, 2026	90	Firm change	Ibd to ibd
W• W••••• P••••••• L••	N•••••• A•••••••	Jan 30, 2025	Jan 14, 2025

Team moves

••• Locked

Team	Left	Joined	From	Kind
306951:171351:MO:2025-01-28	Jan 30, 2025	Jan 14, 2025	COLUMBIA, MO	Firm change

Relationships

Registered with (3)

→ V••••••• A•••••••• I•••Registered adviserregistration: current employment
Apr 13, 2026 to presentfactForm ADV
→ N•••••• A•••••••Registered adviserregistration: previous registration
Jan 14, 2025 to Jan 13, 2026factForm ADV
→ W• W••••• P••••••• L••Registered adviserregistration: previous registration
Dec 22, 2022 to Jan 30, 2025factForm ADV

Dated events

Order

Occurred
13 Jan 2026
Advisor changed firm
••• Locked
Form ADV
Occurred
30 Jan 2025
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Dec 22, 2022
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.