DFX Intelligence

S•••• S•••• N•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

S•••• S•••• N•••••

Advisor at C••••• I••••••••• A••••••• L••

JOHNS ISLAND, SC | CHARLESTON, SC

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Search this name across graphsid dfx:ria:a564f8cd-ea2b-c612-521f-68cbb59b57ec

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Feb 10, 2018 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: C••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 1, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Nov 22, 2023	n/a	yes	JOHNS ISLAND, SC\|CHARLESTON, SC	Current employment
R•••••• J•••• • A••••••••• I•••	National bd RIA	May 9, 2023	Nov 7, 2023	no	CHARLESTON, SC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R•••••• J•••• • A••••••••• I•••	C••••• I••••••••• A••••••• L••	Nov 7, 2023	Nov 22, 2023	15	Firm change	Ibd to ibd
C••••• I••••••••• A••••••• L••	R•••••• J•••• • A••••••••• I•••	Apr 14, 2023	May 9, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
250:105644:MO:2018-08-24	Sep 7, 2018	Oct 2, 2018	ST LOUIS, MO	Firm change

Relationships

Registered with (4)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: previous registration
Oct 2, 2018 to Apr 14, 2023factForm ADV
→ R•••••• J•••• • A••••••••• I•••Registered adviserregistration: previous registration
May 9, 2023 to Nov 7, 2023factForm ADV
→ E••••• J••••Registered adviserregistration: previous registration
Jul 31, 2018 to Sep 7, 2018factForm ADV
→ W•••••••• I••••••••• C••••••••• I•••

Dated events

Occurred
Nov 7, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Apr 14, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a564f8cd-ea2b-c612-521f-68cbb59b57ec
First observed: Feb 10, 2018
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.