DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

C•••••• R•• C•••••

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

CORINTH, MS

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Search this name across graphsid dfx:ria:be9d0047-b400-08c4-4962-2f1f9ef78851

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 26, 2007 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: Jun 23, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 12derivedfrom 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	Jan 21, 2014	n/a	yes	CORINTH, MS	Current employment
B••••••••• I••••••••• S•••••••• I•••	Former SEC adviser	Mar 11, 2010	Jan 4, 2013	no	CORINTH, MS	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••••••••• I••••••••• S•••••••• I•••	C••••• I••••••••• A••••••• L••	Jan 4, 2013	Jan 21, 2014	382	Firm change	Other
L•• F•••••••• L••	B••••••••• I••••••••• S•••••••• I•••	Mar 16, 2010	Mar 11, 2010

Relationships

Registered with (4)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Jan 21, 2014 to presentfactForm ADV
→ B••••••••• I••••••••• S•••••••• I•••Registered adviserregistration: previous registration
Mar 11, 2010 to Jan 4, 2013factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Apr 2, 2009 to Mar 16, 2010factForm ADV
→ E••••• J••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:be9d0047-b400-08c4-4962-2f1f9ef78851
First observed: Jan 26, 2007
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.