DFX Intelligence

R••••• E•••••••• K••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Analystdual registered (broker-dealer)15 years in industry

R••••• E•••••••• K••••••

Advisor at D••••••••• F••• A••••••• L•

CHARLOTTE, NC | AUSTIN, TX

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Search this name across graphsid dfx:ria:35b41c5d-f35d-1559-c680-aedc7a5e2196

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Nov 22, 2010 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: D••••••••• F••• A••••••• L•
Current firm class: asset managerderived
Book size: not public••• Locked
Industry start: Nov 20, 2010earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
D••••••••• F••• A••••••• L•	Asset manager	Jul 14, 2014	n/a	yes	AUSTIN, TX\|CHARLOTTE, NC	Current employment
S••••• C•••••• M••••••••• L••	Former SEC adviser	Aug 8, 2013	Jan 29, 2014	no	LEAWOOD, KS	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••• C•••••• M••••••••• L••	D••••••••• F••• A••••••• L•	Jan 29, 2014	Jul 14, 2014	166	Firm change	Other
S•••• I••••••••• I•••	S••••• C•••••• M••••••••• L••	Nov 8, 2012	Aug 8, 2013

Relationships

Registered with (3)

→ D••••••••• F••• A••••••• L•Registered adviserregistration: current employment
Jul 14, 2014 to presentfactForm ADV
→ S••••• C•••••• M••••••••• L••Registered adviserregistration: previous registration
Aug 8, 2013 to Jan 29, 2014factForm ADV
→ S•••• I••••••••• I•••Registered adviserregistration: previous registration
Nov 22, 2010 to Nov 8, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:35b41c5d-f35d-1559-c680-aedc7a5e2196
First observed: Nov 22, 2010
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.