DFX Intelligence

E••••••• P••••••••• I••••••••• G••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserstate registeredstate registeredRAUM none

E••••••• P••••••••• I••••••••• G••••• L••

CRD 171950

CHARLOTTE, NC

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Search this name across graphsid dfx:ria:a0abe59d-a940-373a-e7d1-a9f3b8b10a6c

Data as of Mar 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 18, 2026 to Mar 18, 2026
1 observations

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

Firm class: state registeredderivedon the IAPD state feed, not SEC-registered
Private client RAUM: $0derived••• Locked
Employees: 1
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
Individual clients: 0
High net worth clients: 0
CRD: 171950

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
T••••• B• A••••	n/a	Charlotte, NC	9	11	2	no

Relationships

Registered with (4)

← T••••• B• A••••Advisorregistration: current employment
Mar 8, 2017 to presentfactForm ADV
← R••••• L• L•••Advisorregistration: previous registration
Apr 28, 2016 to Mar 20, 2020factForm ADV
← A••••• N••••• T•••••••Advisorregistration: previous registration
Sep 24, 2018 to Jan 2, 2020factForm ADV
← C••• D••••• G•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a0abe59d-a940-373a-e7d1-a9f3b8b10a6c
First observed: Mar 18, 2026
Last observed: Mar 18, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds 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.