DFX Intelligence

C•••••• W••••• P•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserstate registeredstate registeredRAUM under $100M

C•••••• W••••• P•••••••• L••

CRD 329274

CONCORD, NC

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Search this name across graphsid dfx:ria:34c7eadf-c0bc-32b6-368d-59506153344e

Data as of Jan 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jan 19, 2026 to Jan 19, 2026
1 observations

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

Firm class: state registeredderivedon the IAPD state feed, not SEC-registered
Regulatory AUM: $43.3M••• Locked
Discretionary RAUM: $43.3M
Private client RAUM: $43.3Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Employees: 2
Advisory employees: 2

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S••• M•••••• W•••••••	Certified Financial Planner	CONCORD, NC	2	12	1	no
N••••••• A••• O••••••	Certified Financial Planner	CONCORD, NC	2	16	1

Relationships

Registered with (2)

← N••••••• A••• O••••••Advisorregistration: current employment
Mar 19, 2024 to presentfactForm ADV
← S••• M•••••• W•••••••Advisorregistration: current employment
Feb 29, 2024 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:34c7eadf-c0bc-32b6-368d-59506153344e
First observed: Jan 19, 2026
Last observed: Jan 19, 2026 8 months ago
Source families: Federal regulator filings
3 registered feeds 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.