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

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RIA / WealthAdvisorCertified Financial Planner16 years in industry

S••••• A••••• G••••

Advisor at H••••• W•••••

CHARLOTTE, NC

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Search this name across graphsid dfx:ria:3309d6e8-545f-f423-a291-cb8eea64da4b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Sep 21, 2011 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: H••••• W•••••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 1, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
H••••• W•••••	Independent wealth	Sep 5, 2013	n/a	yes	CHARLOTTE, NC	Current employment
G••••• F•••••••• P•••••• C••••••• I•••	Former SEC adviser	Feb 2, 2012	Nov 29, 2017	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
G••••• F•••••••• P•••••• C••••••• I•••	H••••• W•••••	Nov 29, 2017	Sep 5, 2013	-1,546	Firm change after gap	Other
K•••• M•••••••••	G••••• F•••••••• P•••••• C••••••• I•••	Apr 12, 2012

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
132070:168494:FL:2017-11-29	Nov 29, 2017	Sep 5, 2013	SARASOTA, FL	Firm change after gap

Relationships

Registered with (3)

→ H••••• W•••••Registered adviserregistration: current employment
Sep 5, 2013 to presentfactForm ADV
→ G••••• F•••••••• P•••••• C••••••• I•••Registered adviserregistration: previous registration
Feb 2, 2012 to Nov 29, 2017factForm ADV
→ K•••• M•••••••••Registered adviserregistration: previous registration
Sep 21, 2011 to Apr 12, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3309d6e8-545f-f423-a291-cb8eea64da4b
First observed: Sep 21, 2011
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.