DFX Intelligence

A•• L•• H••••••• P•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor31 years in industry

A•• L•• H••••••• P•••••

Advisor at A••••• A•• P••••••• S•••••••

CHARLOTTE, NC | Charlotte, NC

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Search this name across graphsid dfx:ria:d07658f8-e0d0-7c53-5ca4-3e551257892c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Aug 3, 2005 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: A••••• A•• P••••••• S•••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Dec 8, 1994earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••• A•• P••••••• S•••••••	Bd affiliated wealth	Jun 18, 2026	n/a	yes	Charlotte, NC\|CHARLOTTE, NC	Current employment
M••••• G••••• A••••••• I•••	Independent wealth	Mar 1, 2024	May 6, 2025	no	DENVER, CO\|Peachtree City, GA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• G••••• A••••••• I•••	A••••• A•• P••••••• S•••••••	May 6, 2025	Jun 18, 2026	408	Firm change after gap	RIA to ibd
L•• F•••••••• L••	M••••• G••••• A••••••• I•••	Feb 16, 2024	Mar 1, 2024

Relationships

Registered with (7)

→ A••••• A•• P••••••• S•••••••Registered adviserregistration: current employment
Jun 18, 2026 to presentfactForm ADV
→ M••••• G••••• A••••••• I•••Registered adviserregistration: previous registration
Mar 1, 2024 to May 6, 2025factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Mar 15, 2021 to Feb 16, 2024factForm ADV
→ F•••••••• R••••••• M••••••••• I•••

Dated events

Occurred
May 6, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 16, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d07658f8-e0d0-7c53-5ca4-3e551257892c
First observed: Aug 3, 2005
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.