DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)26 years in industry

S••••• P•••••• H•••••

Advisor at L•• F•••••••• L••

••• Locked

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:8c266f46-ed61-9e3a-7fc9-567d50e5e4f3

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 2
On other graphs: 0
Observed: Oct 28, 2004 to Sep 15, 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: L•• F•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Apr 14, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 9

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Jul 10, 2024	n/a	yes	FLETCHER, NC\|HENDERSONVILLE, NC\|ASHEVILLE, NC\|STATESVILLE, NC	Current employment
N•••••	Mixed wealth	Sep 7, 2023	Jun 7, 2024	no	MOORESVILLE, NC\|Mooresville, NC\|High Point, NC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N•••••	L•• F•••••••• L••	Jun 7, 2024	Jul 10, 2024	33	Firm change	RIA to ibd
V••••••• A•••••••• I•••	N•••••	Jul 25, 2023	Sep 7, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
7691:19616:NC:2018-08-03	Aug 15, 2018	Feb 22, 2019	MOORESVILLE, NC	Firm change

Relationships

Registered with (8)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Jul 10, 2024 to presentfactForm ADV
→ N•••••Registered adviserregistration: previous registration
Sep 7, 2023 to Jun 7, 2024factForm ADV
→ V••••••• A•••••••• I•••Registered adviserregistration: previous registration
Oct 14, 2021 to Jul 25, 2023factForm ADV
→ W•••• F•••• A•••••••

Dated events

Occurred
Jun 7, 2024
Advisor changed firm
S••••• P•••••• H••••• left Namcoa for L•• F•••••••• L•• (registered 2024-07-10)
Form ADVobserved 7 days ago
Occurred
Jul 25, 2023
Advisor changed firm
S••••• P•••••• H••••• left V••••••• A•••••••• I••• for Namcoa (registered 2023-09-07)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8c266f46-ed61-9e3a-7fc9-567d50e5e4f3
First observed: Oct 28, 2004
Last observed: Sep 15, 2026 7 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.