DFX Intelligence

P•••••• W•••••• H••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

P•••••• W•••••• H••••••

Advisor at S••••• O•• S••••••••• I•••

Hampstead, NC

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Search this name across graphs

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 25, 2015 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: S••••• O•• S••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 30, 2011earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• O•• S••••••••• I•••	Bd affiliated wealth	Nov 15, 2021	n/a	yes	Hampstead, NC	Current employment
S••••••••• A•••••• A•••••••• I•••	Former SEC adviser	Sep 18, 2020	Dec 10, 2021	no	FORT WAYNE, IN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••••• A•••••• A•••••••• I•••	S••••• O•• S••••••••• I•••	Dec 10, 2021	Nov 15, 2021	-25	Firm change	Ibd to ibd
S•• A•••••••• I•••	S••••••••• A•••••• A•••••••• I•••	Sep 18, 2020	Sep 18, 2020

Relationships

Registered with (4)

→ S••••• O•• S••••••••• I•••Registered adviserregistration: current employment
Nov 15, 2021 to presentfactForm ADV
→ S••••••••• A•••••• A•••••••• I•••Registered adviserregistration: previous registration
Sep 18, 2020 to Dec 10, 2021factForm ADV
→ S•• A•••••••• I•••Registered adviserregistration: previous registration
Nov 8, 2017 to Sep 18, 2020factForm ADV
→ S•• I••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 25, 2015
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.