DFX Intelligence

C•••••• E•••• D••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Consultant39 years in industry

C•••••• E•••• D••••

Advisor at S••••• W••••• M••••••••• L••

MATTHEWS, NC

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Search this name across graphsid dfx:ria:92a9ccc2-568a-ad5a-7e94-3404fbd63939

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 31, 2003 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••••• W••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Feb 18, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 21derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• W••••• M••••••••• L••	Independent wealth	Jan 28, 2005	n/a	yes	MATTHEWS, NC	Current employment
N••••••••• M••••• I••••••••• S•••••••••	No RAUM reported	Mar 16, 2004	Dec 15, 2004	no	CHARLOTTESVILLE, VA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N••••••••• M••••• W••••• M••••••••• C••••••	N••••••••• M••••• I••••••••• S•••••••••	Dec 15, 2004	Mar 16, 2004	-274	Firm change after gap	Other
N••••••••• M••••• I••••••••• S•••••••••	S••••• W••••• M••••••••• L••	Dec 15, 2004

Relationships

Registered with (3)

→ S••••• W••••• M••••••••• L••Registered adviserregistration: current employment
Jan 28, 2005 to presentfactForm ADV
→ N••••••••• M••••• W••••• M••••••••• C••••••Registered adviserregistration: previous registration
Mar 31, 2003 to Dec 15, 2004factForm ADV
→ N••••••••• M••••• I••••••••• S•••••••••Registered adviserregistration: previous registration
Mar 16, 2004 to Dec 15, 2004factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:92a9ccc2-568a-ad5a-7e94-3404fbd63939
First observed: Mar 31, 2003
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.