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

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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

F•••• T• S•••••••

Advisor at U•• F•••••••• S••••••• I•••

CHARLOTTE, NC | WEEHAWKEN, NJ

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Search this name across graphsid dfx:ria:d07c0ea8-f6cc-533c-25af-adc19d6b8d6b

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Jan 5, 2005 to Sep 15, 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: U•• F•••••••• S••••••• I•••
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 19, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
U•• F•••••••• S••••••• I•••	Wirehouse	May 18, 2026	n/a	yes	CHARLOTTE, NC\|WEEHAWKEN, NJ	Current employment
W•••• F•••• A•••••••	Wirehouse	Oct 25, 2022	Jan 13, 2026	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	U•• F•••••••• S••••••• I•••	Jan 13, 2026	May 18, 2026	125	Firm change	Wirehouse to wirehouse
D•••••• L••• S••••• L••	W•••• F•••• A•••••••	Jan 18, 2022

Relationships

Registered with (7)

→ U•• F•••••••• S••••••• I•••Registered adviserregistration: current employment
May 18, 2026 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Oct 25, 2022 to Jan 13, 2026factForm ADV
→ D•••••• L••• S••••• L••Registered adviserregistration: previous registration
Jun 30, 2021 to Jan 18, 2022factForm ADV
→ A••••• A•• P••••••• S•••••••

Dated events

Occurred
Jan 13, 2026
Advisor changed firm
F•••• T• S••••••• left W•••• F•••• A••••••• for U•• F•••••••• S••••••• I••• (registered 2026-05-18)
Form ADVobserved 7 days ago
Occurred
Jan 18, 2022
Advisor changed firm
F•••• T• S••••••• left D•••••• L••• S••••• L•• for W•••• F•••• A••••••• (registered 2022-10-25)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d07c0ea8-f6cc-533c-25af-adc19d6b8d6b
First observed: Jan 5, 2005
Last observed: Sep 15, 2026 7 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.