DFX Intelligence

T••• R•••••• W•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

T••• R•••••• W•••••

Advisor at S•••••••• B••••••••• L••

GREENSBORO, NC

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Search this name across graphsid dfx:ria:b089a1aa-f59e-9d74-62d5-8c5135f2a0ff

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Dec 31, 2001 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•••••••• B••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jun 13, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• B••••••••• L••	Independent wealth	Aug 11, 2017	n/a	yes	GREENSBORO, NC	Current employment
F•••• A••••• A••••••• S•••••••• I•••	Former SEC adviser	Jul 2, 2012	Dec 24, 2015	no	GREENSBORO, NC	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••• A••••• A••••••• S•••••••• I•••	S•••••••• B••••••••• L••	Dec 24, 2015	Aug 11, 2017	596	Firm change after gap	Other
F•••• A••••• S••••••••• I•••	F•••• A••••• A••••••• S•••••••• I•••	Jul 2, 2012	Jul 2, 2012

Relationships

Registered with (5)

→ S•••••••• B••••••••• L••Registered adviserregistration: current employment
Aug 11, 2017 to presentfactForm ADV
→ F•••• A••••• A••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jul 2, 2012 to Dec 24, 2015factForm ADV
→ F•••• A••••• S••••••••• I•••Registered adviserregistration: previous registration
Feb 2, 2010 to Jul 2, 2012factForm ADV
→ L•• F•••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b089a1aa-f59e-9d74-62d5-8c5135f2a0ff
First observed: Dec 31, 2001
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.