DFX Intelligence

R•••••• D•••• P•••: advisor on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)40 years in industry

R•••••• D•••• P•••

Advisor at C••••• I••••••••• A••••••• L••

Winston Salem, NC | THE VILLAGES, FL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:85389c1c-265c-b36d-55e4-7efd86ecae11

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Apr 21, 2005 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: C••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Apr 24, 1986earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Mar 7, 2024	n/a	yes	THE VILLAGES, FL\|Winston Salem, NC	Current employment
C•••••• G••••••• W••••• M••••••••• L••	Former SEC adviser	Aug 16, 2011	Mar 19, 2015	no	THE VILLAGES, FL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• G••••••• W••••• M••••••••• L••	C••••• I••••••••• A••••••• L••	Mar 19, 2015	Mar 7, 2024	3,276	Firm change after gap	Other
C••••• O•• W••••• M••••••••• L••	C•••••• G••••••• W••••• M••••••••• L••	Mar 28, 2012	Aug 16, 2011

Team moves

••• Locked

Team	Left	Joined	From	Kind
131631:105644:FL:2015-03-17	Mar 19, 2015	Mar 7, 2024	THE VILLAGES, FL	Firm change after gap

Relationships

Registered with (5)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Mar 7, 2024 to presentfactForm ADV
→ C•••••• G••••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Aug 16, 2011 to Mar 19, 2015factForm ADV
→ C••••• O•• W••••• M••••••••• L••Registered adviserregistration: previous registration
Mar 22, 2010 to Mar 28, 2012factForm ADV
→ C••••• A••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:85389c1c-265c-b36d-55e4-7efd86ecae11
First observed: Apr 21, 2005
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.