DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)27 years in industry

A••• S•••••• B••••

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

Mooresville, NC

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Search this name across graphsid dfx:ria:2d889721-f651-98d5-aafb-76ba7109e1ab

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Jan 17, 2007 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: R•••••• J•••• F•••••••• S••••••• A•••••••• I••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 1, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Bd affiliated wealth	Mar 13, 2025	n/a	yes	Mooresville, NC	Current employment
E••••• J••••	National bd RIA	Jan 17, 2007	Mar 17, 2025	no	MOORESVILLE, NC	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E••••• J••••	R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Mar 17, 2025	Mar 13, 2025	-4	Firm change	Ibd to ibd

Team moves

••• Locked

Team	Left	Joined	From	Kind
250:149018:NC:2025-03-17	Mar 17, 2025	Mar 13, 2025	MOORESVILLE, NC	Firm change

Relationships

Registered with (2)

→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserregistration: current employment
Mar 13, 2025 to presentfactForm ADV
→ E••••• J••••Registered adviserregistration: previous registration
Jan 17, 2007 to Mar 17, 2025factForm ADV

Dated events

Occurred
Mar 17, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2d889721-f651-98d5-aafb-76ba7109e1ab
First observed: Jan 17, 2007
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.