DFX Intelligence

Data Factory

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisorChartered Financial Analystdual registered (broker-dealer)17 years in industry

Y•••• E•••

Advisor at U•• F•••••••• S••••••• I•••

CHARLOTTE, NC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:373934bc-a583-49bf-17ce-754c976553ae

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 1
Observed: Oct 28, 2022 to Sep 14, 2026

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Y•••• E•••

same person, same CRD on Schedule A · confidence 95% · family precision 100%

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: U•• F•••••••• S••••••• I•••
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 1, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

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
U•• F•••••••• S••••••• I•••	Wirehouse	Jul 24, 2026	n/a	yes	CHARLOTTE, NC	Current employment
F••••• V•••••	Independent wealth	Feb 22, 2024	Feb 19, 2026	no	GREENVILLE, SC

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
F••••• V•••••	U•• F•••••••• S••••••• I•••	Feb 19, 2026	Jul 24, 2026	155	Firm change	RIA to wirehouse
W••••• E••••••••• A••••••• S•••••••• L••	F••••• V•••••	Feb 20, 2024

Relationships

Registered with (3)

→ U•• F•••••••• S••••••• I•••Registered adviserregistration: current employment
Jul 24, 2026 to presentfactForm ADV
→ F••••• V•••••Registered adviserregistration: previous registration
Feb 22, 2024 to Feb 19, 2026factForm ADV
→ W••••• E••••••••• A••••••• S•••••••• L••Registered adviserregistration: previous registration
Oct 28, 2022 to Feb 20, 2024factForm ADV

Dated events

Occurred
Feb 19, 2026
Advisor changed firm
Y•••• E••• left F••••• V••••• for U•• F•••••••• S••••••• I••• (registered 2026-07-24)
Form ADVobserved 7 days ago
Occurred
Feb 20, 2024
Advisor changed firm
Y•••• E••• left W••••• E••••••••• A••••••• S•••••••• L•• for F••••• V••••• (registered 2024-02-22)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:373934bc-a583-49bf-17ce-754c976553ae
First observed: Oct 28, 2022
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.