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L••••• C•••••• F•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

L••••• C•••••• F•••

Advisor at S••••• A••••••• I•••

BIRMINGHAM, AL

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Search this name across graphsid dfx:ria:9179f09d-6f40-f6fd-46ea-0c099fcee957

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: May 10, 2013 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: S••••• A••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 27, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• A••••••• I•••	Bd affiliated wealth	Dec 6, 2019	n/a	yes	BIRMINGHAM, AL	Current employment
Q•••• C•••••• S••••••••• I•••	Former SEC adviser	Jun 13, 2014	Dec 6, 2019	no	LAWRENCEBURG, IN\|LAGUNA HILLS, CA\|LAGUNA HILLS, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
Q•••• C•••••• S••••••••• I•••	S••••• A••••••• I•••	Dec 6, 2019	Dec 6, 2019	0	Bulk transfer	RIA to ibd
W•••••• • R•••	Q•••• C•••••• S••••••••• I•••	Feb 11, 2014	Jun 13, 2014

Relationships

Registered with (3)

→ S••••• A••••••• I•••Registered adviserregistration: current employment
Dec 6, 2019 to presentfactForm ADV
→ Q•••• C•••••• S••••••••• I•••Registered adviserregistration: previous registration
Jun 13, 2014 to Dec 6, 2019factForm ADV
→ W•••••• • R•••Registered adviserregistration: previous registration
May 10, 2013 to Feb 11, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9179f09d-6f40-f6fd-46ea-0c099fcee957
First observed: May 10, 2013
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.