DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Analystdual registered (broker-dealer)20 years in industry

L•••• T••••• C•••••••

Advisor at C•••••• S••••• • C••• I•••

Raleigh, NC

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Search this name across graphsid dfx:ria:326efb97-0e79-94a4-1ed7-912e9cbe26bb

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: May 19, 2006 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•••••• S••••• • C••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: May 18, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• S••••• • C••• I•••	National bd RIA	Sep 6, 2025	n/a	yes	Raleigh, NC	Current employment
C••••• A••••••• G••••• L••	Independent wealth	Mar 13, 2024	Apr 10, 2024	no	RALEIGH, NC\|CLEARWATER, FL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• A••••••• G••••• L••	C•••••• S••••• • C••• I•••	Apr 10, 2024	Sep 6, 2025	514	Firm change after gap	RIA to ibd
T••••••• W••••• M•••••••••	C••••• A••••••• G••••• L••	May 11, 2023	Mar 13, 2024

Relationships

Registered with (4)

→ C•••••• S••••• • C••• I•••Registered adviserregistration: current employment
Sep 6, 2025 to presentfactForm ADV
→ C••••• A••••••• G••••• L••Registered adviserregistration: previous registration
Mar 13, 2024 to Apr 10, 2024factForm ADV
→ T••••••• W••••• M•••••••••Registered adviserregistration: previous registration
Jul 17, 2014 to May 11, 2023factForm ADV
→ B••• A•••• M••••••••• I•••Registered adviser

Dated events

Occurred
Apr 10, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
May 11, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:326efb97-0e79-94a4-1ed7-912e9cbe26bb
First observed: May 19, 2006
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.