DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)31 years in industry

C•••••• D•••••• W•••••

Advisor at V••••••• A•••••••• I•••

CHARLOTTE, NC

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Search this name across graphsid dfx:ria:931e35da-ba97-2297-9d87-1ac7dcd8d636

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Aug 16, 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: V••••••• A•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 18, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
V••••••• A•••••••• I•••	Bd affiliated wealth	Jul 13, 2021	n/a	yes	CHARLOTTE, NC	Current employment
A•••••• I••••••••• A•••••••• I•••	Independent wealth	Jan 10, 2018	Apr 13, 2021	no	NAPLES, FL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A•••••• I••••••••• A•••••••• I•••	V••••••• A•••••••• I•••	Apr 13, 2021	Jul 13, 2021	91	Firm change	RIA to ibd
B••• O• A•••••• I••••••••• S•••••••• I•••	A•••••• I••••••••• A•••••••• I•••	Jun 26, 2003	Jan 10, 2018

Relationships

Registered with (3)

→ V••••••• A•••••••• I•••Registered adviserregistration: current employment
Jul 13, 2021 to presentfactForm ADV
→ A•••••• I••••••••• A•••••••• I•••Registered adviserregistration: previous registration
Jan 10, 2018 to Apr 13, 2021factForm ADV
→ B••• O• A•••••• I••••••••• S•••••••• I•••Registered adviserregistration: previous registration
Aug 16, 2002 to Jun 26, 2003factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:931e35da-ba97-2297-9d87-1ac7dcd8d636
First observed: Aug 16, 2002
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.