DFX Intelligence

S•••••• G•••••• D••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

S•••••• G•••••• D••••••

Advisor at M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

CHARLOTTE, NC

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Search this name across graphsid dfx:ria:3ba673c3-8520-2671-3410-f05e2a5331ef

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:28 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jul 12, 2017 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: M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: May 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Aug 20, 2024	n/a	yes	CHARLOTTE, NC	Current employment
W•••• A•••••••	Independent wealth	Dec 10, 2020	Mar 8, 2024	no	CHARLOTTE, NC\|MEMPHIS, TN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• A•••••••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Mar 8, 2024	Aug 20, 2024	165	Firm change	RIA to wirehouse
W•••• F•••• A•••••••	W•••• A•••••••	Nov 5, 2020	Dec 10, 2020

Relationships

Registered with (3)

→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: current employment
Aug 20, 2024 to presentfactForm ADV
→ W•••• A•••••••Registered adviserregistration: previous registration
Dec 10, 2020 to Mar 8, 2024factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jul 12, 2017 to Nov 5, 2020factForm ADV

Dated events

Occurred
Mar 8, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3ba673c3-8520-2671-3410-f05e2a5331ef
First observed: Jul 12, 2017
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.