DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

C••••••••• R• W•••••

Advisor at O•••• W•••••• I•••

Raleigh, 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, 9:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jun 22, 2021 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•••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 1, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• W•••••• I•••	Bd affiliated wealth	Aug 23, 2024	n/a	yes	Raleigh, NC	Current employment
T•••• A•••••••• L••	Former SEC adviser	Dec 13, 2023	Aug 23, 2024	no	RALEIGH, NC\|Raleigh, NC	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T•••• A•••••••• L••	O•••• W•••••• I•••	Aug 23, 2024	Aug 23, 2024	0	Bulk transfer	Ibd to ibd
C•••••• A•••• M••••••••• C•••••••••	T•••• A•••••••• L••	Dec 13, 2023	Dec 13, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
118337:25803:NC:2023-12-13	Dec 13, 2023	Dec 13, 2023	RALEIGH, NC	Firm change

Relationships

Registered with (3)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
Aug 23, 2024 to presentfactForm ADV
→ T•••• A•••••••• L••Registered adviserregistration: previous registration
Dec 13, 2023 to Aug 23, 2024factForm ADV
→ C•••••• A•••• M••••••••• C•••••••••Registered adviserregistration: previous registration
Jun 22, 2021 to Dec 13, 2023factForm ADV

Dated events

Order

Occurred
13 Dec 2023
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 22, 2021
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.