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

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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)28 years in industry

R•••• W•••• M••••••••

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

BIRMINGHAM, AL

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Search this name across graphsid dfx:ria:b149774d-903d-9815-25ad-066c28a33635

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 28, 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: C••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 1, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Feb 20, 2025	n/a	yes	BIRMINGHAM, AL	Current employment
C•••••••• F•••••••• G•••• A•••••••	Former SEC adviser	Dec 2, 2003	Feb 20, 2025	no	BIRMINGHAM, AL\|BIRMINGHAM, AL\|BIRMINGHAM, AL\|BIRMINGHAM, AL\|Birmingham, AL\|Birmingham, AL\|BIRMINGHAM, AL\|Birmingham, AL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••••• F•••••••• G•••• A•••••••	C••••• I••••••••• A••••••• L••	Feb 20, 2025	Feb 20, 2025	0	Bulk transfer	Ibd to ibd
P•••••••• P••••••• A•••••••• I•••	C•••••••• F•••••••• G•••• A•••••••	Feb 23, 2004	Dec 2, 2003

Relationships

Registered with (4)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Feb 20, 2025 to presentfactForm ADV
→ C•••••••• F•••••••• G•••• A•••••••Registered adviserregistration: previous registration
Dec 2, 2003 to Feb 20, 2025factForm ADV
→ P•••••••• P••••••• A•••••••• I•••Registered adviserregistration: previous registration
May 13, 2003 to Feb 23, 2004factForm ADV
→ P••• A••••• S••••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b149774d-903d-9815-25ad-066c28a33635
First observed: Feb 28, 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.