DFX Intelligence

T•••••• E•••••• I•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

T•••••• E•••••• I•••

Advisor at H•••••• J• S••• C•••••• M••••••••• I•••

Charlotte, NC | FAIRFIELD, CT

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Search this name across graphsid dfx:ria:62b39215-23fc-c3aa-18fb-240da0e04044

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Aug 27, 2012 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: H•••••• J• S••• C•••••• M••••••••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Oct 29, 2004earliest registration or exam on IAPD
Years in industry: 21derivedfrom 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
H•••••• J• S••• C•••••• M••••••••• I•••	Independent wealth	Oct 23, 2024	n/a	yes	Charlotte, NC\|FAIRFIELD, CT	Current employment
D••••••• I••••••••• A•••••••• I•••	Independent wealth	Apr 2, 2015	Mar 7, 2023	no	PORTLAND, OR

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
D••••••• I••••••••• A•••••••• I•••	H•••••• J• S••• C•••••• M••••••••• I•••	Mar 7, 2023	Oct 23, 2024	596	Firm change after gap	RIA to RIA
D••••••• F•••• I••••• M••••••••• I•••	D••••••• I••••••••• A•••••••• I•••	Mar 7, 2023

Relationships

Registered with (4)

→ H•••••• J• S••• C•••••• M••••••••• I•••Registered adviserregistration: current employment
Oct 23, 2024 to presentfactForm ADV
→ D••••••• I••••••••• A•••••••• I•••Registered adviserregistration: previous registration
Apr 2, 2015 to Mar 7, 2023factForm ADV
→ D••••••• F•••• I••••• M••••••••• I•••Registered adviserregistration: previous registration
Sep 7, 2012 to Mar 7, 2023factForm ADV
→ D••• D••••••• • C••

Dated events

Occurred
Mar 7, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 7, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:62b39215-23fc-c3aa-18fb-240da0e04044
First observed: Aug 27, 2012
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.