DFX Intelligence

A••••• B••• B•••••••: 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

A••••• B••• B•••••••

Advisor at N•••• C••••••• L••

CHARLOTTE, NC

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Search this name across graphsid dfx:ria:84a8ad24-59d9-67b0-a035-328a12850401

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Mar 26, 2008 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: N•••• C••••••• L••
Current firm class: former SEC adviserderived
Book size: not public••• Locked
Industry start: May 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: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N•••• C••••••• L••	Former SEC adviser	Nov 24, 2025	n/a	yes	CHARLOTTE, NC	Current employment
N•••• C••••••• L••	Former SEC adviser	Mar 4, 2025	Aug 11, 2025	no	CHARLOTTE, NC	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••• W••••• P•••••••	N•••• C••••••• L••	Mar 8, 2025	Mar 4, 2025	-4	Firm change	RIA to new firm
A•••• C••••••	S••••• W••••• P•••••••	Feb 15, 2022	Feb 16, 2022

Relationships

Registered with (5)

→ N•••• C••••••• L••Registered adviserregistration: previous registration
Mar 4, 2025 to Aug 11, 2025factForm ADV
→ S••••• W••••• P•••••••Registered adviserregistration: previous registration
Feb 16, 2022 to Mar 8, 2025factForm ADV
→ A•••• C••••••Registered adviserregistration: previous registration
Sep 3, 2021 to Feb 15, 2022factForm ADV
→ A••••• A•• P••••••• S•••••••

Dated events

Occurred
Mar 8, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 15, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:84a8ad24-59d9-67b0-a035-328a12850401
First observed: Mar 26, 2008
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.