DFX Intelligence

D•••• S••••• W••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner30 years in industry

D•••• S••••• W••••••

Advisor at C•••••• B••••• A•••••••

WESTPORT, CT | MEMPHIS, TN

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Feb 23, 2004 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: C•••••• B••••• A•••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Mar 28, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• B••••• A•••••••	Independent wealth	Jul 9, 2026	n/a	yes	MEMPHIS, TN\|WESTPORT, CT	Current employment
W•••••• • A••••••••• L••	Former SEC adviser	May 26, 2016	Jul 16, 2026	no	Memphis, TN	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••••• • A••••••••• L••	C•••••• B••••• A•••••••	Jul 16, 2026	Jul 9, 2026	-7	Firm change	RIA to RIA
W•••••• • A••••••••• I••	I•••••••• C•••••• L••	May 25, 2016	Sep 24, 2009

Team moves

••• Locked

Team	Left	Joined	From	Kind
283723:152569:TN:2026-07-16	Jul 16, 2026	Jul 9, 2026	MEMPHIS, TN	Firm change

Relationships

Registered with (4)

→ C•••••• B••••• A•••••••Registered adviserregistration: current employment
Jul 9, 2026 to presentfactForm ADV
→ W•••••• • A••••••••• L••Registered adviserregistration: previous registration
May 26, 2016 to Jul 16, 2026factForm ADV
→ W•••••• • A••••••••• I••Registered adviserregistration: previous registration
Feb 23, 2004 to May 25, 2016factForm ADV
→ I•••••••• C•••••• L••

Dated events

Occurred
Jul 16, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 23, 2004
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.