DFX Intelligence

A••••• C•••••••• T•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

A••••• C•••••••• T•••••

Advisor at T••••• A••••••• S•••••••• I•••

GASTONIA, NC

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Search this name across graphsid dfx:ria:b89efca0-3233-f997-2d87-00139b550db0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Mar 13, 2017 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: T••••• A••••••• S•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
T••••• A••••••• S•••••••• I•••	Bd affiliated wealth	Jan 5, 2023	n/a	yes	GASTONIA, NC	Current employment
W•••• F•••• A•••••••	Wirehouse	Mar 13, 2017	Sep 9, 2022	no	GASTONIA, NC\|BELMONT, NC\|CHARLOTTE, NC\|CHARLOTTE, NC\|CHARLOTTE, NC\|CHARLOTTE, NC\|CHARLOTTE, NC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	T••••• A••••••• S•••••••• I•••	Sep 9, 2022	Jan 5, 2023	118	Firm change	Wirehouse to ibd

Relationships

Registered with (2)

→ T••••• A••••••• S•••••••• I•••Registered adviserregistration: current employment
Jan 5, 2023 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Mar 13, 2017 to Sep 9, 2022factForm ADV

Dated events

Occurred
Sep 9, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b89efca0-3233-f997-2d87-00139b550db0
First observed: Mar 13, 2017
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.