DFX Intelligence

T•••• L•••• C••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

T•••• L•••• C••••••

Advisor at R•••••• J•••• F•••••••• S••••••• A•••••••• I••

HIGH POINT, NC

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Search this name across graphsid dfx:ria:3f2c73bc-3252-f81f-7bee-2be33c80be4f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Aug 24, 2009 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: R•••••• J•••• F•••••••• S••••••• A•••••••• I••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 20, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Bd affiliated wealth	Sep 3, 2020	n/a	yes	HIGH POINT, NC	Current employment
B••• S••••••••• L••	Former SEC adviser	Jan 2, 2018	Mar 13, 2020	no	CHARLOTTE, NC\|HIGH POINT, NC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••• S••••••••• L••	R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Mar 13, 2020	Sep 3, 2020	174	Firm change	Ibd to ibd
B••• I••••••••• S•••••••• I•••	B••• S••••••••• L••	Jan 2, 2018	Jan 2, 2018

Team moves

••• Locked

Team	Left	Joined	From	Kind
142785:149018:NC:2020-03-13	Mar 13, 2020	Sep 3, 2020	HIGH POINT, NC	Firm change

Relationships

Registered with (6)

→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserregistration: current employment
Sep 3, 2020 to presentfactForm ADV
→ B••• S••••••••• L••Registered adviserregistration: previous registration
Jan 2, 2018 to Mar 13, 2020factForm ADV
→ B••• I••••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jul 11, 2014 to Jan 2, 2018factForm ADV
→ W•••• F•••• A•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3f2c73bc-3252-f81f-7bee-2be33c80be4f
First observed: Aug 24, 2009
Last observed: Sep 14, 2026 8 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.