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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)26 years in industry

T••••• E••••• H••••••••

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

Charlotte, NC

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Search this name across graphsid dfx:ria:9ab140fd-e736-927c-e80e-7d79c64c62d5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 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: R•••••• J•••• F•••••••• S••••••• A•••••••• I••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 6, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Bd affiliated wealth	Sep 23, 2020	n/a	yes	Charlotte, NC	Current employment
C•••••••• W••••• C••••••••• L••	Former SEC adviser	May 13, 2019	Sep 24, 2020	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••••• W••••• C••••••••• L••	R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Sep 24, 2020	Sep 23, 2020	-1	Firm change	RIA to ibd
C•••••••• I••••••••• C••••••••• L••	C•••••••• W••••• C••••••••• L••	Dec 31, 2016

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
104379:300003:NC:2016-12-31	Dec 31, 2016	May 13, 2019	CHARLOTTE, NC	Firm change after gap

Relationships

Registered with (4)

→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserregistration: current employment
Sep 23, 2020 to presentfactForm ADV
→ C•••••••• W••••• C••••••••• L••Registered adviserregistration: previous registration
May 13, 2019 to Sep 24, 2020factForm ADV
→ C•••••••• I••••••••• C••••••••• L••Registered adviserregistration: previous registration
Jun 8, 2006 to Dec 31, 2016factForm ADV
→ B••• O• A•••••• I••••••••• S•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9ab140fd-e736-927c-e80e-7d79c64c62d5
First observed: Jul 31, 2003
Last observed: Sep 14, 2026 7 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.