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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)43 years in industry

C•••• M•••••••• M•••••••

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

COLUMBIA, SC | RALEIGH, NC

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Search this name across graphsid dfx:ria:ca3eb867-62a6-6430-ffdf-f855288435c4

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Aug 3, 2004 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: C•••••• I••••••••• A••••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 4, 1983earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 16derivedfrom 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
C•••••• I••••••••• A••••••• S•••••••• L••	Bd affiliated wealth	Sep 29, 2009	n/a	yes	RALEIGH, NC\|COLUMBIA, SC	Current employment
C•• A•••••••• L••	n/a	Aug 3, 2004	Sep 25, 2009	no

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•• A•••••••• L••	C•••••• I••••••••• A••••••• S•••••••• L••	Sep 25, 2009	Sep 29, 2009	4	Firm change	Other

Relationships

Registered with (2)

→ C•••••• I••••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Sep 29, 2009 to presentfactForm ADV
→ C•• A•••••••• L••Registered adviserregistration: previous registration
Aug 3, 2004 to Sep 25, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ca3eb867-62a6-6430-ffdf-f855288435c4
First observed: Aug 3, 2004
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.