DFX Intelligence

M•••••• D•••• K•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

M•••••• D•••• K•••••••

Advisor at A••••• A•• P••••••• S•••••••

CHARLOTTE, NC | Waxhaw, NC

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Search this name across graphsid dfx:ria:87b0b314-87d7-ea92-66d2-f6d9b4320302

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Nov 14, 2006 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: A••••• A•• P••••••• S•••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 9, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••• A•• P••••••• S•••••••	Bd affiliated wealth	Oct 17, 2023	n/a	yes	Waxhaw, NC\|CHARLOTTE, NC	Current employment
A••••• A•• P••••••• S•••••••	Bd affiliated wealth	Aug 23, 2013	Aug 22, 2016	no	CHARLOTTE, NC\|CHARLOTTE, NC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P•••••••• S••••••••• I•••	A••••• A•• P••••••• S•••••••	Aug 15, 2013	Aug 23, 2013	8	Firm change	Other
B••• O• A•••••• I••••••••• S•••••••• I•••	P•••••••• S••••••••• I•••	Sep 8, 2008	Oct 6, 2008

Relationships

Registered with (3)

→ A••••• A•• P••••••• S•••••••Registered adviserregistration: previous registration
Aug 23, 2013 to Aug 22, 2016factForm ADV
→ P•••••••• S••••••••• I•••Registered adviserregistration: previous registration
Oct 6, 2008 to Aug 15, 2013factForm ADV
→ B••• O• A•••••• I••••••••• S•••••••• I•••Registered adviserregistration: previous registration
Nov 14, 2006 to Sep 8, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:87b0b314-87d7-ea92-66d2-f6d9b4320302
First observed: Nov 14, 2006
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.