DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

M•••••• H• L••••••

Advisor at C•••••• S••••• • C••• I•••

Cary, NC

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Search this name across graphsid dfx:ria:9303f610-a4d1-dc07-5d5f-6202b0cb0244

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 0
On other graphs: 0
Observed: May 29, 2007 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: C•••••• S••••• • C••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jul 21, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 9

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• S••••• • C••• I•••	National bd RIA	Aug 14, 2023	n/a	yes	Cary, NC	Current employment
T• A••••••••• I•••	Former SEC adviser	Feb 27, 2018	Oct 14, 2022	no	DURHAM, NC\|RALEIGH, NC\|CARY, NC	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T• A••••••••• I••••••••• M••••••••• L••	T• A••••••••• I•••	Sep 7, 2023	Feb 27, 2018	-2,018	Channel change	Other
T• A••••••••• I•••	C•••••• S••••• • C••• I•••	Oct 14, 2022	Aug 14, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
111514:7870:NC:2023-09-07	Sep 7, 2023	Feb 27, 2018	CARY, NC	Firm change after gap
7870:5393:NC:2022-10-14	Oct 14, 2022	Aug 14, 2023	CARY, NC	Firm change

Relationships

Registered with (10)

→ C•••••• S••••• • C••• I•••Registered adviserregistration: current employment
Aug 14, 2023 to presentfactForm ADV
→ T• A••••••••• I••••••••• M••••••••• L••Registered adviserregistration: previous registration
Feb 26, 2018 to Sep 7, 2023factForm ADV
→ T• A••••••••• I•••Registered adviserregistration: previous registration
Feb 27, 2018 to Oct 14, 2022factForm ADV
→ S•••••••• I••••••••• M•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9303f610-a4d1-dc07-5d5f-6202b0cb0244
First observed: May 29, 2007
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.