DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

S•••• P•••••• S••••••

Advisor at E•••• W••••• M••••••••• G•••• I•••

VALENCIA, CA | Charlotte, NC

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Search this name across graphsid dfx:ria:524f7bf5-a38d-8f14-f176-9e4b47054084

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Apr 10, 2001 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: E•••• W••••• M••••••••• G•••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Feb 14, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom 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
E•••• W••••• M••••••••• G•••• I•••	Independent wealth	Oct 30, 2023	n/a	yes	VALENCIA, CA\|Charlotte, NC	Current employment
C•••• C•••••• S••••••••• L•••	Former SEC adviser	Oct 7, 2009	Nov 20, 2023	no	WAXHAW, NC\|PINEHURST, NC\|ORANGE, CA\|CHARLOTTE, NC\|Charlotte, NC\|MYRTLE BEACH, SC\|CHARLOTTE, NC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••• C•••••• S••••••••• L•••	E•••• W••••• M••••••••• G•••• I•••	Nov 20, 2023	Oct 30, 2023	-21	Firm change	Ibd to new firm
C••••••••• P•••••••• R••••• C•••	C•••• C•••••• S••••••••• L•••	Oct 2, 2009	Oct 7, 2009

Team moves

••• Locked

Team	Left	Joined	From	Kind
6312:327052:NC:2023-11-20	Nov 20, 2023	Oct 30, 2023	CHARLOTTE, NC	Firm change

Relationships

Registered with (4)

→ E•••• W••••• M••••••••• G•••• I•••Registered adviserregistration: current employment
Oct 30, 2023 to presentfactForm ADV
→ C•••• C•••••• S••••••••• L•••Registered adviserregistration: previous registration
Oct 7, 2009 to Nov 20, 2023factForm ADV
→ C••••••••• P•••••••• R••••• C•••Registered adviserregistration: previous registration
Feb 14, 2007 to Oct 2, 2009factForm ADV
→ S••••••• F•••••••• S•••••••• I•••

Dated events

Occurred
Nov 20, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:524f7bf5-a38d-8f14-f176-9e4b47054084
First observed: Apr 10, 2001
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.