DFX Intelligence

F•••••••• G••••• F•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)39 years in industry

F•••••••• G••••• F•••

Advisor at D•••••••• • C•••••• L••

RICHMOND, VA

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Search this name across graphsid dfx:ria:a5720c23-6c5e-6b5d-9e22-1ed5e27b74f0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Jan 7, 2003 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: D•••••••• • C•••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 1, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
D•••••••• • C•••••• L••	Bd affiliated wealth	Mar 15, 2021	n/a	yes	RICHMOND, VA	Current employment
C••••• A•••••• N••••••• L••	Former SEC adviser	Feb 24, 2021	Mar 19, 2021	no	BOCA RATON, FL\|Coconut Creek, FL\|PALM BEACH GARDENS, FL\|CORAL SPRINGS, FL\|LONGWOOD, FL\|FORT MYERS, FL\|BOCA RATON, FL\|CLEARWATER, FL\|PORT RICHEY, FL\|LIGHTHOUSE POINT, FL\|SARASOTA, FL\|HOLLYWOOD, FL\|TRINITY, FL\|SARASOTA, FL\|SAFETY HARBOR, FL\|MIAMI, FL\|FORT LAUDERDALE, FL\|PALM BEACH GARDENS, FL\|BOCA RATON, FL\|COCONUT CREEK, FL\|PONTE VEDRA, FL\|WATERSOUND, FL\|GAINESVILLE, FL\|ST AUGUSTINE, FL\|BOCA RATON, FL\|PALM BEACH GARDENS, FL\|DESTIN, FL\|BOCA RATON, FL\|NAPLES, FL\|CLEARWATER, FL\|Boca Raton, FL\|LAND O LAKES, FL\|TAMPA, FL\|CORAL SPRINGS, FL\|STUART, FL\|DELRAY BEACH, FL\|SARASOTA, FL\|TAMPA, FL\|FORT LAUDERDALE, FL\|MIAMI BEACH, FL\|BRANDON, FL\|SARASOTA, FL\|MIAMI, FL\|NAPLES, FL\|MELBOURNE, FL\|JENSEN BEACH, FL\|FT LAUDERDALE, FL\|WINTER HAVEN, FL\|DADE CITY, FL\|MAITLAND, FL\|BOCA RATON, FL\|INDIALANTIC, FL\|PANAMA CITY BEACH, FL\|PUNTA GORDA, FL\|WINTER HAVEN, FL\|PORT CHARLOTTE, FL\|DELRAY BEACH, FL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• I••••••••• A••••••• L••	V•• A••••••• S•••••••	Mar 19, 2021	Dec 23, 2015	-1,913	Firm change after gap	Other
S••••• F•••••••• G•••• I••	C••••• I••••••••• A••••••• L••	Mar 19, 2021	Oct 6, 2015

Relationships

Registered with (7)

→ D•••••••• • C•••••• L••Registered adviserregistration: current employment
Mar 15, 2021 to presentfactForm ADV
→ C••••• I••••••••• A••••••• L••Registered adviserregistration: previous registration
Oct 6, 2015 to Mar 19, 2021factForm ADV
→ S••••• F•••••••• G•••• I••Registered adviserregistration: previous registration
May 10, 2010 to Mar 19, 2021factForm ADV
→ C••••• A•••••• N••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a5720c23-6c5e-6b5d-9e22-1ed5e27b74f0
First observed: Jan 7, 2003
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.