DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

N••••••• A••• D••••••

Advisor at C•••••••

RALEIGH, NC

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Search this name across graphsid dfx:ria:6120b41e-a900-672f-065c-c373d55bdcd7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Dec 3, 2007 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: C•••••••
Current firm class: institutional managerderived
Book size: not public••• Locked
Industry start: Feb 16, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••	Institutional manager	Apr 15, 2015	n/a	yes	RALEIGH, NC	Current employment
C••••••• A•••• M••••••••• L••	Former SEC adviser	Feb 5, 2010	Sep 16, 2014	no	BOULDER, CO	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••• A•••• M••••••••• L••	C•••••••	Sep 16, 2014	Apr 15, 2015	211	Firm change	Other
Z••••••• • W••••• I••	C••••••• A•••• M••••••••• L••	Jan 21, 2010	Feb 5, 2010

Relationships

Registered with (3)

→ C•••••••Registered adviserregistration: current employment
Apr 15, 2015 to presentfactForm ADV
→ C••••••• A•••• M••••••••• L••Registered adviserregistration: previous registration
Feb 5, 2010 to Sep 16, 2014factForm ADV
→ Z••••••• • W••••• I••Registered adviserregistration: previous registration
Dec 3, 2007 to Jan 21, 2010factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6120b41e-a900-672f-065c-c373d55bdcd7
First observed: Dec 3, 2007
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.