DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner50 years in industry

W•••••• E••••• N•••••

Advisor at A••••• I••••••••• C•••••••••

CARMEL, IN | Charlotte, NC

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Search this name across graphsid dfx:ria:3a4d3712-1938-e0c6-f98d-6a5a092725f3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
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: A••••• I••••••••• C•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jun 1, 1976earliest registration or exam on IAPD
Years in industry: 50derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••• I••••••••• C•••••••••	Independent wealth	Oct 7, 2011	n/a	yes	CARMEL, IN\|Charlotte, NC	Current employment
C••••• A•••••• N••••••• L••	Former SEC adviser	Dec 31, 2001	Oct 7, 2011	no	CHARLOTTE, NC\|CHARLOTTE, NC\|CHARLOTTE, NC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• A•••••• N••••••• L••	A••••• I••••••••• C•••••••••	Oct 7, 2011	Oct 7, 2011	0	Firm change	Other

Relationships

Registered with (2)

→ A••••• I••••••••• C•••••••••Registered adviserregistration: current employment
Oct 7, 2011 to presentfactForm ADV
→ C••••• A•••••• N••••••• L••Registered adviserregistration: previous registration
Dec 31, 2001 to Oct 7, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3a4d3712-1938-e0c6-f98d-6a5a092725f3
First observed: Dec 31, 2001
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.