DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

T••••• P•••••• F••••

Advisor at A•••••••• F•••• M••••••••• L••

Charlotte, NC | Monroe, NC

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 12:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Feb 11, 2015 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: A•••••••• F•••• M••••••••• L••
Current firm class: asset managerderived
Book size: not public••• Locked
Industry start: Dec 3, 1999earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A•••••••• F•••• M••••••••• L••	Asset manager	Mar 9, 2023	n/a	yes	Charlotte, NC\|Monroe, NC	Current employment
M••••• S••••••	Wirehouse	Oct 12, 2022	Mar 9, 2023	no	Charlotte, NC	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	A•••••••• F•••• M••••••••• L••	Mar 9, 2023	Mar 9, 2023	0	Firm change	Other
A•••••••• F•••• M••••••••• L••	M••••• S••••••	Sep 30, 2022	Oct 12, 2022

Relationships

Registered with (5)

→ A•••••••• F•••• M••••••••• L••Registered adviserregistration: previous registration
Jul 24, 2019 to Sep 30, 2022factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Oct 12, 2022 to Mar 9, 2023factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Feb 9, 2018 to Jul 24, 2019factForm ADV
→ L•• F•••••••• L••

Dated events

Order

Occurred
9 Mar 2023
Advisor changed firm
••• Locked
Form ADV
Occurred
30 Sep 2022
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 11, 2015
Last observed: Sep 15, 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.