DFX Intelligence

B•••• D••••• A••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)40 years in industry

B•••• D••••• A••••

Advisor at W••••••• W•••••• L••

Neeses, SC | WEST COLUMBIA, SC

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Search this name across graphsid dfx:ria:5b3d12cd-f79f-61a1-a6a6-600582a127ec

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jul 25, 2002 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••••••• W•••••• L••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Nov 8, 1985earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W••••••• W•••••• L••	State registered	Feb 9, 2023	n/a	yes	Neeses, SC\|WEST COLUMBIA, SC	Current employment
C••••• A•••••• N••••••• L••	Former SEC adviser	Sep 3, 2013	Feb 21, 2023	no	WEST COLUMBIA, SC	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• A•••••• N••••••• L••	W••••••• W•••••• L••	Feb 21, 2023	Feb 9, 2023	-12	Firm change	Ibd to state RIA
W••••• S••••• S••••••••• I•••	C••••• A•••••• N••••••• L••	Sep 3, 2013	Sep 3, 2013

Team moves

••• Locked

Team	Left	Joined	From	Kind
13572:322337:SC:2023-02-21	Feb 21, 2023	Feb 9, 2023	WEST COLUMBIA, SC	Firm change

Relationships

Registered with (4)

→ W••••••• W•••••• L••Registered adviserregistration: current employment
Feb 9, 2023 to presentfactForm ADV
→ C••••• A•••••• N••••••• L••Registered adviserregistration: previous registration
Sep 3, 2013 to Feb 21, 2023factForm ADV
→ W••••• S••••• S••••••••• I•••Registered adviserregistration: previous registration
Oct 27, 2004 to Sep 3, 2013factForm ADV
→ W••••• S••••• A••••••• I••Registered adviser

Dated events

Occurred
Feb 21, 2023
A•••••• firm change
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5b3d12cd-f79f-61a1-a6a6-600582a127ec
First observed: Jul 25, 2002
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.