DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

M•••••• S•••••• L•••

Advisor at A••••• A•• P••••••• S•••••••

Charlotte, NC | CHARLOTTE, NC

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Search this name across graphsid dfx:ria:50746df2-687c-4473-b5cb-8e9256053a47

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Sep 13, 2017 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: A••••• A•• P••••••• S•••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••• A•• P••••••• S•••••••	Bd affiliated wealth	Mar 25, 2024	n/a	yes	CHARLOTTE, NC\|Charlotte, NC	Current employment
1• F••••••••	Former SEC adviser	Jan 2, 2024	Mar 15, 2024	no	Charlotte, NC	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
1• F••••••••	A••••• A•• P••••••• S•••••••	Mar 15, 2024	Mar 25, 2024	10	Firm change	RIA to ibd
A• W••••• A••••••• L••	1• F••••••••	Nov 14, 2023	Jan 2, 2024

Relationships

Registered with (4)

→ A••••• A•• P••••••• S•••••••Registered adviserregistration: current employment
Mar 25, 2024 to presentfactForm ADV
→ 1• F••••••••Registered adviserregistration: previous registration
Jan 2, 2024 to Mar 15, 2024factForm ADV
→ A• W••••• A••••••• L••Registered adviserregistration: previous registration
May 1, 2023 to Nov 14, 2023factForm ADV
→ P••• A••••• S••••••••• L••

Dated events

Occurred
Mar 15, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Nov 14, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:50746df2-687c-4473-b5cb-8e9256053a47
First observed: Sep 13, 2017
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.