DFX Intelligence

J••• M•••••• P••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)26 years in industry

J••• M•••••• P••••

Advisor at C•••••• I••••••••• A••••••• S•••••••• L••

CHARLOTTE, NC | RALEIGH, NC

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Search this name across graphsid dfx:ria:716637c6-5da5-cf3c-0464-a0902d63fb04

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Dec 31, 2001 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•••••• I••••••••• A••••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 12, 1999earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• I••••••••• A••••••• S•••••••• L••	Bd affiliated wealth	Jan 5, 2018	n/a	yes	CHARLOTTE, NC\|RALEIGH, NC	Current employment
B••• S••••••••• L••	Former SEC adviser	Jan 2, 2013	Dec 14, 2017	no	CHARLOTTE, NC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••• S••••••••• L••	C•••••• I••••••••• A••••••• S•••••••• L••	Dec 14, 2017	Jan 5, 2018	22	Firm change	Other
S•••• • S••••••••• L••	B••• S••••••••• L••	Jan 2, 2013	Jan 2, 2013

Relationships

Registered with (4)

→ C•••••• I••••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Jan 5, 2018 to presentfactForm ADV
→ B••• S••••••••• L••Registered adviserregistration: previous registration
Jan 2, 2013 to Dec 14, 2017factForm ADV
→ S•••• • S••••••••• L••Registered adviserregistration: previous registration
Nov 4, 2005 to Jan 2, 2013factForm ADV
→ L••• M•••• W••• W•••••• I•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:716637c6-5da5-cf3c-0464-a0902d63fb04
First observed: Dec 31, 2001
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.