DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)39 years in industry

A••• R••••• N••••••

Advisor at C•••••••

GREENVILLE, SC

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Search this name across graphsid dfx:ria:2c9f8c1b-900e-857b-1743-482e471f98f3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 2, 2002 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: C•••••••
Current firm class: institutional managerderived
Book size: not public••• Locked
Industry start: Nov 4, 1986earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••	Institutional manager	Jul 2, 2021	n/a	yes	GREENVILLE, SC	Current employment
N•••••• N•••••• • P••••••• I•••	Former SEC adviser	May 1, 2018	Nov 12, 2021	no	GREENVILLE, SC	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N•••••• N•••••• • P••••••• I•••	C•••••••	Nov 12, 2021	Jul 2, 2021	-133	Firm change after gap	Other
W•••• F•••• A•••••••	N•••••• N•••••• • P••••••• I•••	May 1, 2018	May 1, 2018

Team moves

••• Locked

Team	Left	Joined	From	Kind
293199:175112:SC:2021-11-12	Nov 12, 2021	Jul 2, 2021	GREENVILLE, SC	Firm change after gap
11025:293199:SC:2018-05-01	May 1, 2018	May 1, 2018	GREENVILLE, SC	Firm change

Relationships

Registered with (4)

→ C•••••••Registered adviserregistration: current employment
Jul 2, 2021 to presentfactForm ADV
→ N•••••• N•••••• • P••••••• I•••Registered adviserregistration: previous registration
May 1, 2018 to Nov 12, 2021factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Sep 7, 2007 to May 1, 2018factForm ADV
→ W•••• F•••• A•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2c9f8c1b-900e-857b-1743-482e471f98f3
First observed: May 2, 2002
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.