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R•••••• A•••••• R•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Analystdual registered (broker-dealer)24 years in industry

R•••••• A•••••• R•••••••

Advisor at W•••• F•••• A•••••••

CHARLOTTE, NC | Tacoma, WA

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Search this name across graphsid dfx:ria:739ebdc3-723c-6787-d972-1aefde88e680

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 27, 2002 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: W•••• F•••• A•••••••
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 1, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
W•••• F•••• A•••••••	Wirehouse	Jun 4, 2026	n/a	yes	CHARLOTTE, NC\|Tacoma, WA	Current employment
P••••• C•••••• M•••••••••	State registered	Sep 25, 2020	Oct 6, 2021	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
P••••• C•••••• M•••••••••	W•••• F•••• A•••••••	Oct 6, 2021	Jun 4, 2026	1,702	Firm change after gap	Other
C••••• I••••••••• A••••••• L••	P••••• C•••••• M•••••••••	Dec 3, 2019

Relationships

Registered with (4)

→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jan 26, 2012 to Aug 17, 2012factForm ADV
→ P••••• C•••••• M•••••••••Registered adviserregistration: previous registration
Sep 25, 2020 to Oct 6, 2021factForm ADV
→ C••••• I••••••••• A••••••• L••Registered adviserregistration: previous registration
Sep 5, 2018 to Dec 3, 2019factForm ADV
→ W•••• F•••• I••••••••• L••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:739ebdc3-723c-6787-d972-1aefde88e680
First observed: Mar 27, 2002
Last observed: Sep 15, 2026 7 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.