DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

M••••••• H••••••

Advisor at W••••• E••••••••• A••••••• S•••••••• L••

CHARLOTTE, NC | PLYMOUTH, MN

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:41 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Mar 18, 2024 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: W••••• E••••••••• A••••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W••••• E••••••••• A••••••• S•••••••• L••	Bd affiliated wealth	Oct 2, 2024	n/a	yes	CHARLOTTE, NC\|PLYMOUTH, MN	Current employment
F••••••• C•••••• A•••••••• L••	Former SEC adviser	Mar 18, 2024	Oct 3, 2024	no	GREENVILLE, SC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F••••••• C•••••• A•••••••• L••	W••••• E••••••••• A••••••• S•••••••• L••	Oct 3, 2024	Oct 2, 2024	-1	Firm change	RIA to ibd

Team moves

••• Locked

Team	Left	Joined	From	Kind
145460:116407:SC:2024-10-03	Oct 3, 2024	Oct 2, 2024	GREENVILLE, SC	Firm change

Relationships

Registered with (2)

→ W••••• E••••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Oct 2, 2024 to presentfactForm ADV
→ F••••••• C•••••• A•••••••• L••Registered adviserregistration: previous registration
Mar 18, 2024 to Oct 3, 2024factForm ADV

Dated events

Order

Occurred
3 Oct 2024
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 18, 2024
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.