DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)19 years in industry

M••••••• S•••• R••••••

Advisor at O•••• W••••• M••••••••• L••

CHARLOTTE, NC

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Search this name across graphsid dfx:ria:76c82c39-f32d-480a-d34a-4a3f83fe8aaa

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Aug 6, 2007 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: O•••• W••••• M••••••••• L••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Aug 6, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• W••••• M••••••••• L••	State registered	Apr 2, 2024	n/a	yes	CHARLOTTE, NC	Current employment
A••• I••••• A•••••••	Independent wealth	Apr 26, 2022	Nov 4, 2022	no	CHARLOTTE, NC	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••• I••••• A•••••••	O•••• W••••• M••••••••• L••	Nov 4, 2022	Apr 2, 2024	515	Firm change after gap	RIA to state RIA
O•••• W••••• M••••••••• L••	A••• I••••• A•••••••	Apr 11, 2022	Apr 26, 2022

Relationships

Registered with (7)

→ O•••• W••••• M••••••••• L••Registered adviserregistration: current employment
Apr 2, 2024 to presentfactForm ADV
→ A••• I••••• A•••••••Registered adviserregistration: previous registration
Apr 26, 2022 to Nov 4, 2022factForm ADV
→ O•••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Mar 8, 2022 to Apr 11, 2022factForm ADV
→ E•••••••• A•••••••• L••Registered adviser

Dated events

Occurred
Nov 4, 2022
Advisor changed firm
M••••••• S•••• R•••••• left A••• I••••• A••••••• for O•••• W••••• M••••••••• L•• (registered 2024-04-02)
Form ADVobserved 7 days ago
Occurred
Apr 11, 2022
Advisor changed firm
M••••••• S•••• R•••••• left O•••• W••••• M••••••••• L•• for A••• I••••• A••••••• (registered 2022-04-26)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:76c82c39-f32d-480a-d34a-4a3f83fe8aaa
First observed: Aug 6, 2007
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.