DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)27 years in industry

S•••••••• Y••• V•••••

Advisor at I••••••••• A•••••• A•••••••• L••

Columbia, SC

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Search this name across graphsid dfx:ria:3942661c-f3f5-fe61-a9a3-327eaba5f0e2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Oct 22, 1998 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: I••••••••• A•••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Oct 1, 1998earliest registration or exam on IAPD
Years in industry: 27derivedfrom 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
I••••••••• A•••••• A•••••••• L••	I•••••••••_WEALTH	Mar 17, 2014	n/a	yes	Columbia, SC	Current employment
G••••• F•••••••• G••••	Former SEC adviser	Aug 6, 2012	Mar 13, 2014	no	IRMO, SC\|BOCA RATON, FL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
G••••• F•••••••• G••••	I••••••••• A•••••• A•••••••• L••	Mar 13, 2014	Mar 17, 2014	4	Firm change	Other
C•••••••• G••••• M•••••• I•••	G••••• F•••••••• G••••	Nov 25, 2005	Aug 6, 2012

Relationships

Registered with (3)

→ I••••••••• A•••••• A•••••••• L••Registered adviserregistration: current employment
Mar 17, 2014 to presentfactForm ADV
→ G••••• F•••••••• G••••Registered adviserregistration: previous registration
Aug 6, 2012 to Mar 13, 2014factForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
Oct 22, 1998 to Nov 25, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3942661c-f3f5-fe61-a9a3-327eaba5f0e2
First observed: Oct 22, 1998
Last observed: Sep 14, 2026 9 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.