DFX Intelligence

A••••• E••••• F•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor21 years in industry

A••••• E••••• F•••••

Advisor at N••••• C•••••• M•••••••••

CHARLOTTE, NC

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Search this name across graphsid dfx:ria:43c0d120-6d4a-09b1-dbae-c51f179dc141

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:44 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Apr 27, 2007 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: N••••• C•••••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Feb 1, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N••••• C•••••• M•••••••••	Independent wealth	Apr 8, 2024	n/a	yes	CHARLOTTE, NC	Current employment
C• F• P•••• • C••• I•••	Former SEC adviser	Oct 11, 2023	Nov 30, 2023	no	SALISBURY, NC	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C• F• P•••• • C••• I•••	N••••• C•••••• M•••••••••	Nov 30, 2023	Apr 8, 2024	130	Firm change	Other
N••••• C•••••• M•••••••••	C• F• P•••• • C••• I•••	Sep 25, 2023	Oct 11, 2023

Relationships

Registered with (4)

→ N••••• C•••••• M•••••••••Registered adviserregistration: previous registration
Jun 29, 2021 to Sep 25, 2023factForm ADV
→ C• F• P•••• • C••• I•••Registered adviserregistration: previous registration
Oct 11, 2023 to Nov 30, 2023factForm ADV
→ T••••• A••••••• S•••••••• I•••Registered adviserregistration: previous registration
Dec 3, 2020 to Jun 17, 2021factForm ADV
→ A••••• A•• P••••••• S•••••••

Dated events

Occurred
Nov 30, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Sep 25, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:43c0d120-6d4a-09b1-dbae-c51f179dc141
First observed: Apr 27, 2007
Last observed: Sep 14, 2026 9 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.