DFX Intelligence

D•••• H••••• G•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)29 years in industry

D•••• H••••• G•••••

Advisor at F••••••• P•••••• L•••••• L••

Raleigh, NC | RALEIGH, NC

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Search this name across graphsid dfx:ria:c6821a4c-b816-fbc5-22fd-c74f36141bcd

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:18 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Dec 31, 2001 to Sep 15, 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: F••••••• P•••••• L•••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Feb 25, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
F••••••• P•••••• L•••••• L••	Independent wealth	Jan 26, 2022	n/a	yes	Raleigh, NC\|RALEIGH, NC\|RALEIGH, NC	Current employment
L•• F•••••••• L••	Bd affiliated wealth	May 18, 2010	Jan 25, 2022	no	RALEIGH, NC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	F••••••• P•••••• L•••••• L••	Jan 25, 2022	Jan 26, 2022	1	Firm change	Ibd to RIA
C•••••••• F•••••••• G•••• A•••••••	L•• F•••••••• L••	Apr 27, 2010	May 18, 2010

Relationships

Registered with (5)

→ F••••••• P•••••• L•••••• L••Registered adviserregistration: current employment
Jan 26, 2022 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
May 18, 2010 to Jan 25, 2022factForm ADV
→ C•••••••• F•••••••• G•••• A•••••••Registered adviserregistration: previous registration
Nov 26, 2007 to Apr 27, 2010factForm ADV
→ O•••• F•• I•••

Dated events

Occurred
Jan 25, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c6821a4c-b816-fbc5-22fd-c74f36141bcd
First observed: Dec 31, 2001
Last observed: Sep 15, 2026 7 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.