DFX Intelligence

Data Factory

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

R•••••• W••• A•••••

Advisor at C•••••••

CHARLOTTE, NC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:ba1c7e53-42e2-5e1d-7d2c-fee508dd0a08

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jul 18, 2013 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•••••••
Current firm class: institutional managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 1, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••	Institutional manager	Mar 5, 2025	n/a	yes	CHARLOTTE, NC	Current employment
C•••••••• W••••• C••••••••• L••	Former SEC adviser	May 11, 2019	Jul 14, 2025	no	CHARLOTTE, NC\|CHARLOTTE, NC

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••••• W••••• C••••••••• L••	C•••••••	Jul 14, 2025	Mar 5, 2025	-131	Firm change after gap	Other
C•••••••• I••••••••• C••••••••• L••	C•••••••• W••••• C••••••••• L••	Apr 17, 2001

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
300003:175112:NC:2025-07-14	Jul 14, 2025	Mar 5, 2025	CHARLOTTE, NC	Firm change after gap

Relationships

Registered with (3)

→ C•••••••Registered adviserregistration: current employment
Mar 5, 2025 to presentfactForm ADV
→ C•••••••• W••••• C••••••••• L••Registered adviserregistration: previous registration
May 11, 2019 to Jul 14, 2025factForm ADV
→ C•••••••• I••••••••• C••••••••• L••Registered adviserregistration: previous registration
Jul 18, 2013 to Apr 17, 2001factForm ADV

Dated events

Occurred
Jul 14, 2025
Advisor changed firm
R•••••• W••• A••••• left C•••••••• W••••• C••••••••• L•• for Captrust (registered 2025-03-05)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ba1c7e53-42e2-5e1d-7d2c-fee508dd0a08
First observed: Jul 18, 2013
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.