DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)29 years in industry

R••••• M•••••• B•••••

Advisor at A••••• F•••••••• A•••••••• L••

CHARLOTTE, NC | Lincolnton, NC

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Search this name across graphsid dfx:ria:9d1831f6-46de-9926-21ed-2e9e4b704293

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Mar 18, 2014 to Sep 15, 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: A••••• F•••••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: May 23, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••• F•••••••• A•••••••• L••	Independent wealth	Aug 23, 2024	n/a	yes	Lincolnton, NC\|CHARLOTTE, NC	Current employment
W•••• F•••• A•••••••	Wirehouse	Mar 3, 2023	May 23, 2024	no	ST. LOUIS, MO\|CHARLOTTE, NC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	A••••• F•••••••• A•••••••• L••	May 23, 2024	Aug 23, 2024	92	Firm change	Wirehouse to RIA
A••••• F•••••••• A•••••••• L••	W•••• F•••• A•••••••	Jan 27, 2023	Mar 3, 2023

Relationships

Registered with (4)

→ A••••• F•••••••• A•••••••• L••Registered adviserregistration: previous registration
Aug 3, 2021 to Jan 27, 2023factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Mar 3, 2023 to May 23, 2024factForm ADV
→ B••• S••••••••• L••Registered adviserregistration: previous registration
Mar 16, 2018 to Jun 14, 2018factForm ADV
→ A••••• A•• P••••••• S•••••••

Dated events

Occurred
May 23, 2024
Advisor changed firm
R••••• M•••••• B••••• left W•••• F•••• A••••••• for A••••• F•••••••• A•••••••• L•• (registered 2024-08-23)
Form ADVobserved 7 days ago
Occurred
Jan 27, 2023
Advisor changed firm
R••••• M•••••• B••••• left A••••• F•••••••• A•••••••• L•• for W•••• F•••• A••••••• (registered 2023-03-03)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9d1831f6-46de-9926-21ed-2e9e4b704293
First observed: Mar 18, 2014
Last observed: Sep 15, 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.