DFX Intelligence

L••••••• E••••• M••••: 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

L••••••• E••••• M••••

Advisor at W•••• F•••• A•••••••

CHARLOTTE, NC

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Search this name across graphsid dfx:ria:9c517616-1867-7302-b65a-ac14a9883d44

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Sep 29, 2005 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•••• F•••• A•••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Jan 16, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 18derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••• F•••• A•••••••	Wirehouse	Dec 6, 2007	n/a	yes	CHARLOTTE, NC	Current employment
U•• F•••••••• S••••••• I•••	Wirehouse	Sep 29, 2005	Dec 17, 2007	no	SOUTHAMPTON, NY\|HUNTINGTON, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•• F•••••••• S••••••• I•••	W•••• F•••• A•••••••	Dec 17, 2007	Dec 6, 2007	-11	Firm change	Wirehouse to wirehouse

Relationships

Registered with (2)

→ W•••• F•••• A•••••••Registered adviserregistration: current employment
Dec 6, 2007 to presentfactForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Sep 29, 2005 to Dec 17, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9c517616-1867-7302-b65a-ac14a9883d44
First observed: Sep 29, 2005
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.