DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Analyst25 years in industry

K••••••• W••• M•••••

Advisor at S•• C•••••• M••••••••• L••

Charlotte, NC | BOSTON, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:5a3c3094-e745-2b64-db04-f468306aa6f7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: May 3, 2006 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: S•• C•••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jun 19, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•• C•••••• M••••••••• L••	Independent wealth	Feb 6, 2025	n/a	yes	Charlotte, NC\|BOSTON, MA	Current employment
E••• C•••••• G••••• L••	Former SEC adviser	Aug 16, 2018	Feb 6, 2025	no	Charlotte, NC\|ATLANTA, GA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E••• C•••••• G••••• L••	S•• C•••••• M••••••••• L••	Feb 6, 2025	Feb 6, 2025	0	Firm change	RIA to RIA
E••• A•••••••• L••	E••• C•••••• G••••• L••	Aug 16, 2018	Aug 16, 2018

Team moves

••• Locked

Team	Left	Joined	From	Kind
297596:122258:GA:2025-02-04	Feb 6, 2025	Feb 6, 2025	ATLANTA, GA	Firm change
142261:297596:NC:2018-08-16	Aug 16, 2018	Aug 16, 2018	CHARLOTTE, NC	Firm change

Relationships

Registered with (4)

→ S•• C•••••• M••••••••• L••Registered adviserregistration: current employment
Feb 6, 2025 to presentfactForm ADV
→ E••• C•••••• G••••• L••Registered adviserregistration: previous registration
Aug 16, 2018 to Feb 6, 2025factForm ADV
→ E••• A•••••••• L••Registered adviserregistration: previous registration
Aug 22, 2011 to Aug 16, 2018factForm ADV
→ C•••••••• I••••••••• C••••••••• L••

Dated events

Occurred
Feb 6, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5a3c3094-e745-2b64-db04-f468306aa6f7
First observed: May 3, 2006
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.