DFX Intelligence

H•••• R•••••• G•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

H•••• R•••••• G•••

Advisor at M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

HOLDEN BEACH, NC | CHARLOTTE, NC

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Search this name across graphsid dfx:ria:3411281b-780e-9542-398c-39b7ab7ac149

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Dec 31, 2001 to Sep 15, 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: M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Dec 4, 2000earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 16derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Oct 23, 2009	n/a	yes	HOLDEN BEACH, NC\|CHARLOTTE, NC	Current employment
B••• O• A•••••• I••••••••• S•••••••• I•••	n/a	Nov 12, 2004	Oct 23, 2009	no	CHARLOTTE, NC\|CHARLOTTE, NC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••• O• A•••••• I••••••••• S•••••••• I•••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Oct 23, 2009	Oct 23, 2009	0	Bulk transfer	Other
C•••••••• G••••• M•••••• I•••	B••• O• A•••••• I••••••••• S•••••••• I•••	Nov 19, 2004

Relationships

Registered with (3)

→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: current employment
Oct 23, 2009 to presentfactForm ADV
→ B••• O• A•••••• I••••••••• S•••••••• I•••Registered adviserregistration: previous registration
Nov 12, 2004 to Oct 23, 2009factForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
Dec 31, 2001 to Nov 19, 2004factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3411281b-780e-9542-398c-39b7ab7ac149
First observed: Dec 31, 2001
Last observed: Sep 15, 2026 7 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.