DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)11 years in industry

S••••• A••••• S•••

Advisor at C•••••••

CHARLOTTE, NC

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Search this name across graphsid dfx:ria:8687fa90-470d-447f-83d3-30c4a1ec9eee

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Dec 22, 2022 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•••••••
Current firm class: institutional managerderived
Book size: not public••• Locked
Industry start: Oct 1, 2014earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••	Institutional manager	Mar 5, 2025	n/a	yes	CHARLOTTE, NC	Current employment
C•••••••• W••••• C••••••••• L••	Former SEC adviser	Dec 22, 2022	Jul 14, 2025	no	CHARLOTTE, NC\|CHARLOTTE, NC	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••••• W••••• C••••••••• L••	C•••••••	Jul 14, 2025	Mar 5, 2025	-131	Firm change after gap	Other

Team moves

••• Locked

Team	Left	Joined	From	Kind
300003:175112:NC:2025-07-14	Jul 14, 2025	Mar 5, 2025	CHARLOTTE, NC	Firm change after gap

Relationships

Registered with (2)

→ C•••••••Registered adviserregistration: current employment
Mar 5, 2025 to presentfactForm ADV
→ C•••••••• W••••• C••••••••• L••Registered adviserregistration: previous registration
Dec 22, 2022 to Jul 14, 2025factForm ADV

Dated events

Occurred
Jul 14, 2025
Advisor changed firm
S••••• A••••• S••• left C•••••••• W••••• C••••••••• L•• for Captrust (registered 2025-03-05)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8687fa90-470d-447f-83d3-30c4a1ec9eee
First observed: Dec 22, 2022
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.