DFX Intelligence
Reading the graph
Reading the graph
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Advisor at R•••• C•••••• A•••••••• L••
CHARLOTTE, NC
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| R•••• C•••••• A•••••••• L•• | State registered | Oct 14, 2025 | n/a | yes | CHARLOTTE, NC | Current employment |
| N••••• C•••••• M••••••••• | Independent wealth | Aug 1, 2017 | Jun 3, 2025 | no | CHARLOTTE, NC | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| N••••• C•••••• M••••••••• | R•••• C•••••• A•••••••• L•• | Jun 3, 2025 | Oct 14, 2025 | 133 | Firm change | RIA to state RIA |
| T•••••• F•••••••• A••••••• L•• | N••••• C•••••• M••••••••• | Apr 11, 2016 | Aug 1, 2017 |
| T•••••• F•••••••• A••••••• L•• | Independent wealth | Apr 13, 2015 | Apr 11, 2016 | no | COLUMBUS, OH | Previous registration |
| T••• W••••• M••••••••• I•• | Independent wealth | Mar 21, 2012 | Sep 26, 2012 | no | CINCINNATI, OH | Previous registration |
| 477 |
| Firm change after gap |
| Other |
| T••• W••••• M••••••••• I•• | T•••••• F•••••••• A••••••• L•• | Sep 26, 2012 | Apr 13, 2015 | 929 | Firm change after gap | Other |