DFX Intelligence

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

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RIA / WealthAdvisor20 years in industry

C•••••• D•••••• R•••••••

Advisor at S••••• F••••••••• L••

CHARLOTTE, NC

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Search this name across graphsid dfx:ria:cc1e3c88-192f-c946-1ce3-b26190e07701

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Aug 25, 2006 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: S••••• F••••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Nov 30, 2005earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• F••••••••• L••	Bd affiliated wealth	Jun 8, 2021	n/a	yes	CHARLOTTE, NC	Current employment
K•••••• W••••• M•••••••••	Independent wealth	Aug 17, 2020	Jul 2, 2021	no	CHICAGO, IL\|Matthews, NC	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
K•••••• W••••• M•••••••••	S••••• F••••••••• L••	Jul 2, 2021	Jun 8, 2021	-24	Firm change	RIA to ibd
C••••••••• W•••••	K•••••• W••••• M•••••••••	Aug 17, 2020	Aug 17, 2020

Team moves

••• Locked

Team	Left	Joined	From	Kind
157935:289971:NC:2017-12-31	Dec 31, 2017	Jan 3, 2018	HUNTERSVILLE, NC	Firm change

Relationships

Registered with (6)

→ S••••• F••••••••• L••Registered adviserregistration: current employment
Jun 8, 2021 to presentfactForm ADV
→ K•••••• W••••• M•••••••••Registered adviserregistration: previous registration
Aug 17, 2020 to Jul 2, 2021factForm ADV
→ C••••••••• W•••••Registered adviserregistration: previous registration
Jan 3, 2018 to Aug 17, 2020factForm ADV
→ C••••••••• W•••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cc1e3c88-192f-c946-1ce3-b26190e07701
First observed: Aug 25, 2006
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.