DFX Intelligence

W••••• A•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)15 years in industry

W••••• A•••

Advisor at E••••• J••••

WAXHAW, NC | ST. LOUIS, MO

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 3:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 3
On other graphs: 0
Observed: Nov 22, 2010 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: E••••• J••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Nov 12, 2010earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
E••••• J••••	National bd RIA	Feb 10, 2026	n/a	yes	WAXHAW, NC\|ST. LOUIS, MO	Current employment
C•••••• L••	Independent wealth	Sep 25, 2024	Oct 6, 2025	no	Charlotte, NC\|ROCKFORD, IL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• L••	E••••• J••••	Oct 6, 2025	Feb 10, 2026	127	Firm change	RIA to ibd
M••••• S••••••	C•••••• L••	Mar 21, 2024	Sep 25, 2024

Relationships

Registered with (6)

→ E••••• J••••Registered adviserregistration: current employment
Feb 10, 2026 to presentfactForm ADV
→ C•••••• L••Registered adviserregistration: previous registration
Sep 25, 2024 to Oct 6, 2025factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Apr 19, 2022 to Mar 21, 2024factForm ADV
→ V••••••• A•••••••• I•••

Dated events

Order

Occurred
6 Oct 2025
Advisor changed firm
••• Locked
Form ADV
Occurred
21 Mar 2024
Advisor changed firm
••• Locked
Form ADV
Occurred
6 Apr 2022
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 22, 2010
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.