DFX Intelligence

W•••••• M•••••• B•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)26 years in industry

W•••••• M•••••• B•••••••

Advisor at F•••• H•••••••• C••••••••• I•••

CHARLOTTE, NC

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Search this name across graphsid dfx:ria:408a37ba-558d-1224-ecf5-5897b784d6aa

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 3
On other graphs: 0
Observed: Aug 4, 2000 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: F•••• H•••••••• C••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 4, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 8

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
F•••• H•••••••• C••••••••• I•••	Bd affiliated wealth	Apr 16, 2025	n/a	yes	CHARLOTTE, NC	Current employment
E•• F•••••••• A•••••••	Independent wealth	Dec 23, 2024	Apr 22, 2025	no	CHARLOTTE, NC	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E•• F•••••••• A•••••••	F•••• H•••••••• C••••••••• I•••	Apr 22, 2025	Apr 16, 2025	-6	Firm change	RIA to ibd
W••••• E••••••••• A••••••• S•••••••• L••	E•• F•••••••• A•••••••	May 14, 2024	Dec 23, 2024

Relationships

Registered with (8)

→ F•••• H•••••••• C••••••••• I•••Registered adviserregistration: current employment
Apr 16, 2025 to presentfactForm ADV
→ E•• F•••••••• A•••••••Registered adviserregistration: previous registration
Dec 23, 2024 to Apr 22, 2025factForm ADV
→ W••••• E••••••••• A••••••• S•••••••• L••Registered adviserregistration: previous registration
Jul 24, 2023 to May 14, 2024factForm ADV
→ F•••• C••••••• I••••••• S•••••••• I•••

Dated events

Occurred
Apr 22, 2025
Advisor changed firm
W•••••• M•••••• B••••••• left E•• F•••••••• A••••••• for F•••• H•••••••• C••••••••• I••• (registered 2025-04-16)
Form ADVobserved 7 days ago
Occurred
May 14, 2024
Advisor changed firm
W•••••• M•••••• B••••••• left W••••• E••••••••• A••••••• S•••••••• L•• for E•• F•••••••• A••••••• (registered 2024-12-23)
Form ADVobserved 7 days ago
Occurred
Jul 12, 2023
Advisor changed firm
W•••••• M•••••• B••••••• left F•••• C••••••• I••••••• S•••••••• I••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2023-07-24)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:408a37ba-558d-1224-ecf5-5897b784d6aa
First observed: Aug 4, 2000
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.