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A•••••• T••••• B••••: 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

A•••••• T••••• B••••

Advisor at R•••••• J•••• • A••••••••• I•••

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:c6c9fc79-9c25-8795-0888-cc6dc19c0857

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Sep 23, 2003 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: R•••••• J•••• • A••••••••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 8, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms

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
R•••••• J•••• • A••••••••• I•••	National bd RIA	May 19, 2021	n/a	yes	Charlotte, NC	Current employment
W•••• F•••• A•••••••	Wirehouse	Nov 20, 2009	May 20, 2021	no	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
W•••• F•••• A•••••••	R•••••• J•••• • A••••••••• I•••	May 20, 2021	May 19, 2021	-1	Firm change	Wirehouse to ibd
M••••• S••••••	W•••• F•••• A•••••••	Dec 14, 2009

Team moves

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

Team	Left	Joined	From	Kind
19616:705:NC:2021-05-20	May 20, 2021	May 19, 2021	CHARLOTTE, NC	Firm change

Relationships

Registered with (5)

→ R•••••• J•••• • A••••••••• I•••Registered adviserregistration: current employment
May 19, 2021 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Nov 20, 2009 to May 20, 2021factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to Dec 14, 2009factForm ADV
→ C•••••••• G••••• M•••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c6c9fc79-9c25-8795-0888-cc6dc19c0857
First observed: Sep 23, 2003
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.