DFX Intelligence

P••••••• A•• S••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

P••••••• A•• S••••••••

Advisor at W•••• F•••• A•••••••

CHARLOTTE, NC | ST. LOUIS, MO

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jun 8, 2004 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: W•••• F•••• A•••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Mar 14, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••• F•••• A•••••••	Wirehouse	Feb 1, 2019	n/a	yes	ST. LOUIS, MO\|CHARLOTTE, NC	Current employment
W•••• F•••• A•••••••	Wirehouse	Jan 25, 2016	Jan 30, 2019	no	C••••••TON, WV	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	W•••• F•••• A•••••••	Jan 30, 2019	Feb 1, 2019	2	Channel change	Wirehouse to wirehouse
L•• I••••••••• A•••••••	W•••• F•••• A•••••••	Mar 23, 2017	Jan 25, 2016

Relationships

Registered with (4)

→ W•••• F•••• A•••••••Registered adviserregistration: current employment
Feb 1, 2019 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jan 25, 2016 to Jan 30, 2019factForm ADV
→ L•• I••••••••• A•••••••Registered adviserregistration: previous registration
Jul 1, 2014 to Mar 23, 2017factForm ADV
→ C•••••• S••••• • C••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 8, 2004
Last observed: Sep 15, 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.