DFX Intelligence

M•••••• R••• A•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)20 years in industry

M•••••• R••• A•••••

Advisor at C•••••• S••••• • C••• I•••

Charlotte, NC

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Search this name across graphsid dfx:ria:ab448152-2489-1d1a-aacb-baa371e3b5b8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Oct 25, 2011 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: C•••••• S••••• • C••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Aug 16, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• S••••• • C••• I•••	National bd RIA	May 17, 2023	n/a	yes	Charlotte, NC	Current employment
F••••••• P••••••• A•• W•••••••• A•••••••	Former SEC adviser	Jul 13, 2018	Mar 15, 2023	no	BOSTON, MA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F••••••• P••••••• A•• W•••••••• A•••••••	C•••••• S••••• • C••• I•••	Mar 15, 2023	May 17, 2023	63	Firm change	Ibd to ibd
S•••••••• A••••••• L••	F••••••• P••••••• A•• W•••••••• A•••••••	Jul 13, 2018	Jul 13, 2018

Relationships

Registered with (4)

→ C•••••• S••••• • C••• I•••Registered adviserregistration: current employment
May 17, 2023 to presentfactForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Jul 13, 2018 to Mar 15, 2023factForm ADV
→ S•••••••• A••••••• L••Registered adviserregistration: previous registration
Dec 17, 2012 to Jul 13, 2018factForm ADV
→ V••••••• A•••••••• I•••

Dated events

Occurred
Mar 15, 2023
Advisor changed firm
M•••••• R••• A••••• left F••••••• P••••••• A•• W•••••••• A••••••• for C•••••• S••••• • C••• I••• (registered 2023-05-17)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ab448152-2489-1d1a-aacb-baa371e3b5b8
First observed: Oct 25, 2011
Last observed: Sep 14, 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.