DFX Intelligence

R•••• M•••••• S••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner44 years in industry

R•••• M•••••• S••••••••

Advisor at R•••• F••• M••••••••• L••

Charlotte, NC | LADY LAKE, FL

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Search this name across graphsid dfx:ria:3925bfa1-366e-dbf4-f560-f9bc4428f6ab

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 2
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: R•••• F••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jun 1, 1982earliest registration or exam on IAPD
Years in industry: 44derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 10

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•••• F••• M••••••••• L••	Independent wealth	Jan 9, 2026	n/a	yes	LADY LAKE, FL\|Charlotte, NC	Current employment
C••••• S••••• A•••••••• I•••	Former SEC adviser	Mar 9, 2022	Aug 31, 2023	no	Charlotte, NC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• S••••• A•••••••• I•••	R•••• F••• M••••••••• L••	Aug 31, 2023	Jan 9, 2026	862	Firm change after gap	RIA to RIA
A•••••••• C•••••• M•••••••••	C••••• S••••• A•••••••• I•••	Feb 11, 2022	Mar 9, 2022

Relationships

Registered with (11)

→ R•••• F••• M••••••••• L••Registered adviserregistration: current employment
Jan 9, 2026 to presentfactForm ADV
→ C••••• S••••• A•••••••• I•••Registered adviserregistration: previous registration
Mar 9, 2022 to Aug 31, 2023factForm ADV
→ A•••••••• C•••••• M•••••••••Registered adviserregistration: previous registration
Dec 20, 2021 to Feb 11, 2022factForm ADV
→ M•••••• A•••••••

Dated events

Occurred
Aug 31, 2023
A•••••• firm change
••• Locked
Form ADVobserved 7 days ago
Occurred
Feb 11, 2022
A•••••• firm change
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3925bfa1-366e-dbf4-f560-f9bc4428f6ab
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.