DFX Intelligence

P•••••• E•••• N••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

P•••••• E•••• N••••••

Advisor at F•••• C••••••• A•••• M••••••••• I••

Raleigh, NC

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Search this name across graphsid dfx:ria:8bff573f-7357-0989-27fc-a8071ebeb910

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Nov 9, 2009 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: F•••• C••••••• A•••• M••••••••• I••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 21, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
F•••• C••••••• A•••• M••••••••• I••	Bd affiliated wealth	Jan 20, 2017	n/a	yes	Raleigh, NC	Current employment
M••••• S•••••• • C•• L••	n/a	Nov 9, 2009	Dec 31, 2010	no	NEW YORK, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S•••••• • C•• L••	F•••• C••••••• A•••• M••••••••• I••	Dec 31, 2010	Jan 20, 2017	2,212	Firm change after gap	Other

Relationships

Registered with (2)

→ F•••• C••••••• A•••• M••••••••• I••Registered adviserregistration: current employment
Jan 20, 2017 to presentfactForm ADV
→ M••••• S•••••• • C•• L••Registered adviserregistration: previous registration
Nov 9, 2009 to Dec 31, 2010factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8bff573f-7357-0989-27fc-a8071ebeb910
First observed: Nov 9, 2009
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.