DFX Intelligence

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

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RIA / WealthAdvisor41 years in industry

S••••• S••••••• M••••••

Advisor at I• N••••••• L••

Mt Pleasant, SC

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Search this name across graphsid dfx:ria:cabeaa2a-af27-1121-15a2-1512be13c43b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Nov 1, 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: I• N••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 15, 1985earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
I• N••••••• L••	Independent wealth	Mar 14, 2023	n/a	yes	Mt Pleasant, SC	Current employment
R•• O•• C•••••• M••••••••• I•••	Former SEC adviser	Feb 5, 2019	Mar 10, 2023	no	Mt Pleasant, SC\|OAK BROOK, IL\|MT. PLEASANT, SC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R•• O•• C•••••• M••••••••• I•••	I• N••••••• L••	Mar 10, 2023	Mar 14, 2023	4	Firm change	RIA to RIA
H••••• R••••	K••••• A••••••• S•••••••• L••	Jun 19, 2018	Apr 29, 2016

Relationships

Registered with (5)

→ I• N••••••• L••Registered adviserregistration: current employment
Mar 14, 2023 to presentfactForm ADV
→ R•• O•• C•••••• M••••••••• I•••Registered adviserregistration: previous registration
Feb 5, 2019 to Mar 10, 2023factForm ADV
→ H••••• R••••Registered adviserregistration: previous registration
Apr 28, 2016 to Jun 19, 2018factForm ADV
→ K••••• A••••••• S•••••••• L••

Dated events

Occurred
Mar 10, 2023
A•••••• firm change
S••••• S••••••• M•••••• left R•• O•• C•••••• M••••••••• I••• for I• N••••••• L•• (registered 2023-03-14)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cabeaa2a-af27-1121-15a2-1512be13c43b
First observed: Nov 1, 2007
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.