DFX Intelligence

M•••••• S••••••• Y•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

M•••••• S••••••• Y•••

Advisor at I••••••••• A•••••• A•••••••• L••

RALEIGH, NC

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Search this name across graphsid dfx:ria:6f7d0cc1-3922-54b5-0658-ae7809a13c5b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Oct 28, 1999 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: I••••••••• A•••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Aug 11, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
I••••••••• A•••••• A•••••••• L••	I•••••••••_WEALTH	Apr 6, 2015	n/a	yes	RALEIGH, NC	Current employment
S•••••• W••••• P•••••••• L••	Bd affiliated wealth	Apr 11, 2012	May 21, 2012	no	RALEIGH, NC	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••• W••••• P•••••••• L••	I••••••••• A•••••• A•••••••• L••	May 21, 2012	Apr 6, 2015	1,050	Firm change after gap	Other
C•••••• I••••••••• A••••••• S•••••••• L••	S•••••• W••••• P•••••••• L••	Mar 15, 2012	Apr 11, 2012

Relationships

Registered with (7)

→ I••••••••• A•••••• A•••••••• L••Registered adviserregistration: current employment
Apr 6, 2015 to presentfactForm ADV
→ S•••••• W••••• P•••••••• L••Registered adviserregistration: previous registration
Apr 11, 2012 to May 21, 2012factForm ADV
→ C•••••• I••••••••• A••••••• S•••••••• L••Registered adviserregistration: previous registration
Jan 18, 2011 to Mar 15, 2012factForm ADV
→ W•••• F•••• A•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6f7d0cc1-3922-54b5-0658-ae7809a13c5b
First observed: Oct 28, 1999
Last observed: Sep 14, 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.