DFX Intelligence

S••• M••••••• L••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner12 years in industry

S••• M••••••• L••••

Advisor at C••••• P••••••• L••

NEW YORK, NY | RALEIGH, NC

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Search this name across graphsid dfx:ria:d1667ddd-3a70-fe41-814c-f0160191fe92

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:49 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Oct 30, 2020 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: C••••• P••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Sep 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• P••••••• L••	Independent wealth	Apr 1, 2025	n/a	yes	NEW YORK, NY\|RALEIGH, NC	Current employment
C••• W•••••• L••	Former SEC adviser	Sep 6, 2023	Apr 1, 2025	no	RALEIGH, NC	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••• W•••••• L••	C••••• P••••••• L••	Apr 1, 2025	Apr 1, 2025	0	Firm change	RIA to RIA
B•••••• W••••• A•••••••• L••	C••• W•••••• L••	Aug 1, 2023	Sep 6, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
170372:151559:NC:2025-04-01	Apr 1, 2025	Apr 1, 2025	RALEIGH, NC	Firm change

Relationships

Registered with (3)

→ C••••• P••••••• L••Registered adviserregistration: current employment
Apr 1, 2025 to presentfactForm ADV
→ C••• W•••••• L••Registered adviserregistration: previous registration
Sep 6, 2023 to Apr 1, 2025factForm ADV
→ B•••••• W••••• A•••••••• L••Registered adviserregistration: previous registration
Oct 30, 2020 to Aug 1, 2023factForm ADV

Dated events

Occurred
Apr 1, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Aug 1, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d1667ddd-3a70-fe41-814c-f0160191fe92
First observed: Oct 30, 2020
Last observed: Sep 15, 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.