DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

R•••••• B•••• M•••••

Advisor at I• C•••••• S••••••• L••

SENECA, SC

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Search this name across graphsid dfx:ria:cc3b7f9c-bb08-57c4-1447-13bfdbc60c22

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 11, 2008 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• C•••••• S••••••• L••
Current firm class: former SEC adviserderived
Book size: not public••• Locked
Industry start: May 3, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
I• C•••••• S••••••• L••	Former SEC adviser	Mar 9, 2018	n/a	yes	SENECA, SC	Current employment
A•••••••• I••••••••• M••••••••• L••	Former SEC adviser	Apr 19, 2017	Oct 4, 2017	no	Seneca, SC	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A•••••••• I••••••••• M••••••••• L••	I• C•••••• S••••••• L••	Oct 4, 2017	Mar 9, 2018	156	Firm change	Other
F••••••• F•••••••• S••••••••• L••	A•••••••• I••••••••• M••••••••• L••	Apr 21, 2017	Apr 19, 2017

Relationships

Registered with (4)

→ I• C•••••• S••••••• L••Registered adviserregistration: current employment
Mar 9, 2018 to presentfactForm ADV
→ A•••••••• I••••••••• M••••••••• L••Registered adviserregistration: previous registration
Apr 19, 2017 to Oct 4, 2017factForm ADV
→ F••••••• F•••••••• S••••••••• L••Registered adviserregistration: previous registration
Nov 2, 2009 to Apr 21, 2017factForm ADV
→ T••••••••• F•••••••• A•••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cc3b7f9c-bb08-57c4-1447-13bfdbc60c22
First observed: Jan 11, 2008
Last observed: Sep 14, 2026 9 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.