DFX Intelligence

C••••••••• T••• P•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor37 years in industry

C••••••••• T••• P•••••

Advisor at N••••• C•••••• M•••••••••

CHARLOTTE, NC

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Search this name across graphsid dfx:ria:3832210b-3022-5942-c983-cf85c04b4f5f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Dec 31, 2001 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: N••••• C•••••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jun 8, 1989earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 19derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N••••• C•••••• M•••••••••	Independent wealth	Aug 28, 2007	n/a	yes	CHARLOTTE, NC	Current employment
E••••••• C•••••• M••••••••• I••	n/a	Oct 18, 2005	Oct 14, 2009	no	CHARLOTTE, NC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E••••••• C•••••• M••••••••• I••	N••••• C•••••• M•••••••••	Oct 14, 2009	Aug 28, 2007	-778	Firm change after gap	Other
F••••• I•••••••••	E••••••• C•••••• M••••••••• I••	Oct 24, 2005	Oct 18, 2005

Relationships

Registered with (3)

→ N••••• C•••••• M•••••••••Registered adviserregistration: current employment
Aug 28, 2007 to presentfactForm ADV
→ E••••••• C•••••• M••••••••• I••Registered adviserregistration: previous registration
Oct 18, 2005 to Oct 14, 2009factForm ADV
→ F••••• I•••••••••Registered adviserregistration: previous registration
Dec 31, 2001 to Oct 24, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3832210b-3022-5942-c983-cf85c04b4f5f
First observed: Dec 31, 2001
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.