DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner34 years in industry

R•••••• E••• F••••••

Advisor at F•••••• F•••••••• G••••• L••

CHARLOTTE, NC

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 2, 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: F•••••• F•••••••• G••••• L••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Aug 20, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
F•••••• F•••••••• G••••• L••	State registered	Jul 28, 2009	n/a	yes	CHARLOTTE, NC	Current employment
W•••• F•••• A•••••••	Wirehouse	Jun 19, 2007	Feb 13, 2009	no	CHARLOTTE, NC	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	F•••••• F•••••••• G••••• L••	Feb 13, 2009	Jul 28, 2009	165	Firm change	Wirehouse to state RIA
T• A••••••••• I••••••••• M••••••••• L••	W•••• F•••• A•••••••	Jul 21, 2006	Jun 19, 2007

Relationships

Registered with (4)

→ F•••••• F•••••••• G••••• L••Registered adviserregistration: current employment
Jul 28, 2009 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jun 19, 2007 to Feb 13, 2009factForm ADV
→ T• A••••••••• I••••••••• M••••••••• L••Registered adviserregistration: previous registration
Apr 25, 2006 to Jul 21, 2006factForm ADV
→ T• A••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jul 2, 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.