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S••••• M•• F••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner|Personal Financial Specialist15 years in industry

S••••• M•• F••••

Advisor at H••••••••• I••••••••• C•

Advance, NC | Greensboro, NC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:40733434-d3a2-6256-76df-9cb7629c4fd3

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Apr 16, 2014 to Sep 15, 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: H••••••••• I••••••••• C•
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 1, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
H••••••••• I••••••••• C•	Independent wealth	Nov 9, 2017	n/a	yes	Advance, NC\|Greensboro, NC	Current employment
P••• A••••• S••••••••• L••	Bd affiliated wealth	Aug 7, 2017	Oct 13, 2017	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
P••• A••••• S••••••••• L••	H••••••••• I••••••••• C•	Oct 13, 2017	Nov 9, 2017	27	Firm change	Other
H••••••••• I••••••••• C•	P••• A••••• S••••••••• L••	Jun 30, 2017

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
283330:106530:NC:2017-01-27	Jan 27, 2017	Jan 26, 2017	GREENSBORO, NC	Firm change

Relationships

Registered with (4)

→ H••••••••• I••••••••• C•Registered adviserregistration: previous registration
Jan 26, 2017 to Jun 30, 2017factForm ADV
→ P••• A••••• S••••••••• L••Registered adviserregistration: previous registration
Aug 7, 2017 to Oct 13, 2017factForm ADV
→ K••••• A••••••• S•••••••• L••Registered adviserregistration: previous registration
Apr 21, 2016 to Jan 27, 2017factForm ADV
→ N•• A•••••• S•••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:40733434-d3a2-6256-76df-9cb7629c4fd3
First observed: Apr 16, 2014
Last observed: Sep 15, 2026 7 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.