DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)23 years in industry

D•••• G• C••••

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

CHARLOTTE, NC

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Search this name across graphsid dfx:ria:a7a4af83-1557-6107-60b2-b63df9640a17

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Aug 19, 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: I••••••••• A•••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jul 19, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
I••••••••• A•••••• A•••••••• L••	I•••••••••_WEALTH	Apr 20, 2015	n/a	yes	CHARLOTTE, NC	Current employment
O•••• F•• I•••	Former SEC adviser	Aug 19, 2003	Apr 22, 2015	no	CHARLOTTE, NC\|CHARLOTTE, NC	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O•••• F•• I•••	I••••••••• A•••••• A•••••••• L••	Apr 22, 2015	Apr 20, 2015	-2	Firm change	Other

Relationships

Registered with (2)

→ I••••••••• A•••••• A•••••••• L••Registered adviserregistration: current employment
Apr 20, 2015 to presentfactForm ADV
→ O•••• F•• I•••Registered adviserregistration: previous registration
Aug 19, 2003 to Apr 22, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a7a4af83-1557-6107-60b2-b63df9640a17
First observed: Aug 19, 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.