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

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RIA / WealthAdvisor31 years in industry

P••••• A••••• G••••••

Advisor at A•••••••• W••••• L••

CHARLOTTE, NC

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jan 1, 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: A•••••••• W••••• L••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Dec 23, 1994earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A•••••••• W••••• L••	State registered	Feb 8, 2024	n/a	yes	CHARLOTTE, NC	Current employment
R•• O•• C•••••• M••••••••• I•••	Former SEC adviser	Jan 8, 2019	Nov 3, 2023	no	OAK BROOK, IL\|CHARLOTTE, NC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R•• O•• C•••••• M••••••••• I•••	A•••••••• W••••• L••	Nov 3, 2023	Feb 8, 2024	97	Firm change	RIA to state RIA
H••••• R••••	R•• O•• C•••••• M••••••••• I•••	Jan 4, 2019	Jan 8, 2019

Team moves

••• Locked

Team	Left	Joined	From	Kind
170037:284188:NC:2019-01-04	Jan 4, 2019	Jan 8, 2019	CHARLOTTE, NC	Firm change

Relationships

Registered with (6)

→ A•••••••• W••••• L••Registered adviserregistration: current employment
Feb 8, 2024 to presentfactForm ADV
→ R•• O•• C•••••• M••••••••• I•••Registered adviserregistration: previous registration
Jan 8, 2019 to Nov 3, 2023factForm ADV
→ H••••• R••••Registered adviserregistration: previous registration
Sep 1, 2016 to Jan 4, 2019factForm ADV
→ I• A••••••• S•••••••• I•••

Dated events

Order

Occurred
3 Nov 2023
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 1, 1999
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.