DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)40 years in industry

S••••• B•••• W••••••••

Advisor at R•••••• J•••• F•••••••• S••••••• A•••••••• I••

Charlotte, NC

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Search this name across graphsid dfx:ria:92799ba3-ff37-f82e-27b8-6b338f1e12d5

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

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jan 22, 2002 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: R•••••• J•••• F•••••••• S••••••• A•••••••• I••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Feb 1, 1986earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Bd affiliated wealth	Oct 1, 2025	n/a	yes	Charlotte, NC	Current employment
R•••••• J•••• • A••••••••• I•••	National bd RIA	Feb 1, 2005	Oct 1, 2025	no	CHARLOTTE, NC\|CHARLOTTE, NC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R•••••• J•••• • A••••••••• I•••	R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Oct 1, 2025	Oct 1, 2025	0	Firm change	Ibd to ibd
M••••• S•••••• D• I•••	R•••••• J•••• • A••••••••• I•••	Jan 10, 2005	Feb 1, 2005

Team moves

••• Locked

Team	Left	Joined	From	Kind
705:149018:NC:2025-10-01	Oct 1, 2025	Oct 1, 2025	CHARLOTTE, NC	Firm change

Relationships

Registered with (3)

→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserregistration: current employment
Oct 1, 2025 to presentfactForm ADV
→ R•••••• J•••• • A••••••••• I•••Registered adviserregistration: previous registration
Feb 1, 2005 to Oct 1, 2025factForm ADV
→ M••••• S•••••• D• I•••Registered adviserregistration: previous registration
Jan 22, 2002 to Jan 10, 2005factForm ADV

Dated events

Occurred
Oct 1, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:92799ba3-ff37-f82e-27b8-6b338f1e12d5
First observed: Jan 22, 2002
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.