DFX Intelligence

C•••• B•••• F••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)29 years in industry

C•••• B•••• F••••

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

CHARLOTTE, NC

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Search this name across graphsid dfx:ria:b58f2160-87fb-a8e1-123a-3fa6cf359324

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Mar 31, 2006 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: I••••••••• A•••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jun 30, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
I••••••••• A•••••• A•••••••• L••	I•••••••••_WEALTH	Dec 20, 2013	n/a	yes	CHARLOTTE, NC	Current employment
S••••••• I••••••••• I•••	Former SEC adviser	Mar 31, 2006	Dec 20, 2013	no	CHARLOTTE, NC\|CHARLOTTE, NC\|RALEIGH, NC\|CHARLOTTE, NC\|CHARLOTTE, NC\|CHARLOTTE, NC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••• I••••••••• I•••	I••••••••• A•••••• A•••••••• L••	Dec 20, 2013	Dec 20, 2013	0	Firm change	Other

Relationships

Registered with (2)

→ I••••••••• A•••••• A•••••••• L••Registered adviserregistration: current employment
Dec 20, 2013 to presentfactForm ADV
→ S••••••• I••••••••• I•••Registered adviserregistration: previous registration
Mar 31, 2006 to Dec 20, 2013factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b58f2160-87fb-a8e1-123a-3fa6cf359324
First observed: Mar 31, 2006
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.