DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)40 years in industry

M••••• D••• B•••••

Advisor at I• F•••••••• A••••••• S••••••• L••

CHARLOTTE, NC | Crown Point, IN

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Search this name across graphsid dfx:ria:9d9c3ca1-5570-f9ad-7d4b-5f971145f414

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jul 16, 2004 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: I• F•••••••• A••••••• S••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Nov 25, 1985earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
I• F•••••••• A••••••• S••••••• L••	Independent wealth	Feb 20, 2020	n/a	yes	CHARLOTTE, NC\|Crown Point, IN	Current employment
T••••••••• F•••••••• A•••••••• L••	Bd affiliated wealth	Dec 11, 2008	Dec 31, 2012	no	CROWN POINT, IN\|CARMEL, IN\|CROWN POINT, IN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T••••••••• F•••••••• A•••••••• L••	I• F•••••••• A••••••• S••••••• L••	Dec 31, 2012	Feb 20, 2020	2,607	Firm change after gap	Other
V•••• F•••••••• A•••••••• I•••	T••••••••• F•••••••• A•••••••• L••	Jan 5, 2006	Dec 11, 2008

Relationships

Registered with (3)

→ I• F•••••••• A••••••• S••••••• L••Registered adviserregistration: current employment
Feb 20, 2020 to presentfactForm ADV
→ T••••••••• F•••••••• A•••••••• L••Registered adviserregistration: previous registration
Dec 11, 2008 to Dec 31, 2012factForm ADV
→ V•••• F•••••••• A•••••••• I•••Registered adviserregistration: previous registration
Jul 16, 2004 to Jan 5, 2006factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9d9c3ca1-5570-f9ad-7d4b-5f971145f414
First observed: Jul 16, 2004
Last observed: Sep 15, 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.