DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner30 years in industry

E••• C••••••••• L•••

Advisor at W••••••••• R••••••••• A•••••••

ALISO VIEJO, CA | Atlanta, GA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 3:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Oct 28, 2004 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: W••••••••• R••••••••• A•••••••
Current firm class: institutional managerderived
Book size: not public••• Locked
Industry start: Oct 10, 1995earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W••••••••• R••••••••• A•••••••	Institutional manager	Dec 21, 2021	n/a	yes	ALISO VIEJO, CA\|Atlanta, GA	Current employment
A•• A•••••••• L••	Former SEC adviser	Mar 18, 2011	Mar 31, 2022	no	SUWANEE, GA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A•• A•••••••• L••	W••••••••• R••••••••• A•••••••	Mar 31, 2022	Dec 21, 2021	-100	Firm change after gap	Other
A••••••• F•••••••• S••••••••• I••	A•• A•••••••• L••	Mar 8, 2018	Mar 18, 2011

Team moves

••• Locked

Team	Left	Joined	From	Kind
156180:121254:GA:2022-03-31	Mar 31, 2022	Dec 21, 2021	SUWANEE, GA	Firm change after gap
106463:156180:GA:2018-03-08	Mar 8, 2018	Mar 18, 2011	LAWRENCEVILLE, GA	Firm change after gap

Relationships

Registered with (3)

→ W••••••••• R••••••••• A•••••••Registered adviserregistration: current employment
Dec 21, 2021 to presentfactForm ADV
→ A•• A•••••••• L••Registered adviserregistration: previous registration
Mar 18, 2011 to Mar 31, 2022factForm ADV
→ A••••••• F•••••••• S••••••••• I••Registered adviserregistration: previous registration
Oct 28, 2004 to Mar 8, 2018factForm ADV

Dated events

Order

Occurred
31 Mar 2022
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Oct 28, 2004
Last observed: Sep 14, 2026 10 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.