DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

C••••••••• A•••••• M•••

Advisor at C•••••• S••••• • C••• I•••

Wilmington, NC | Raleigh, NC

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Search this name across graphsid dfx:ria:7d1afa37-a421-a5b5-b811-f51e4d1330e6

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 12, 2001 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: C•••••• S••••• • C••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Feb 27, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• S••••• • C••• I•••	National bd RIA	Jul 29, 2021	n/a	yes	Raleigh, NC\|Wilmington, NC	Current employment
E••• F•••••••• A•••••••• L••	Former SEC adviser	Oct 16, 2019	Jan 13, 2021	no	Raleigh, NC\|WHEATON, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E••• F•••••••• A•••••••• L••	C•••••• S••••• • C••• I•••	Jan 13, 2021	Jul 29, 2021	197	Firm change	RIA to ibd
F••••••• P••••••• A•• W•••••••• A•••••••	E••• F•••••••• A•••••••• L••	Aug 12, 2019	Oct 16, 2019

Relationships

Registered with (5)

→ C•••••• S••••• • C••• I•••Registered adviserregistration: current employment
Jul 29, 2021 to presentfactForm ADV
→ E••• F•••••••• A•••••••• L••Registered adviserregistration: previous registration
Oct 16, 2019 to Jan 13, 2021factForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Jul 13, 2018 to Aug 12, 2019factForm ADV
→ S•••••••• A••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7d1afa37-a421-a5b5-b811-f51e4d1330e6
First observed: Mar 12, 2001
Last observed: Sep 15, 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.