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D•••• C••••• I••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)33 years in industry

D•••• C••••• I••••••

Advisor at I• F•••••••• A••••••• S••••••• L••

CHARLOTTE, NC | Rancho Santa Fe, CA

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Search this name across graphsid dfx:ria:5ba77bbb-f853-72bc-b2e8-1cd29f016b32

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Sep 22, 1997 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: I• F•••••••• A••••••• S••••••• L••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 6, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
I• F•••••••• A••••••• S••••••• L••	Independent wealth	Jan 22, 2025	n/a	yes	Rancho Santa Fe, CA\|CHARLOTTE, NC	Current employment
T•• W••••• C••••••••• G••••	Independent wealth	May 15, 2019	Sep 2, 2022	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
T•• W••••• C••••••••• G••••	I• F•••••••• A••••••• S••••••• L••	Sep 2, 2022	Jan 22, 2025	873	Firm change after gap	RIA to ibd
L•• F•••••••• L••	T•• W••••• C••••••••• G••••	Aug 21, 2019

Relationships

Registered with (4)

→ I• F•••••••• A••••••• S••••••• L••Registered adviserregistration: current employment
Jan 22, 2025 to presentfactForm ADV
→ T•• W••••• C••••••••• G••••Registered adviserregistration: previous registration
May 15, 2019 to Sep 2, 2022factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Jul 17, 2006 to Aug 21, 2019factForm ADV
→ O•••• F•• I•••

Dated events

Occurred
Sep 2, 2022
Advisor changed firm
D•••• C••••• I•••••• left T•• W••••• C••••••••• G•••• for I• F•••••••• A••••••• S••••••• L•• (registered 2025-01-22)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5ba77bbb-f853-72bc-b2e8-1cd29f016b32
First observed: Sep 22, 1997
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.