DFX Intelligence

R•••••• P••••••• T•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

R•••••• P••••••• T•••••

Advisor at C••••• I••••••••• A••••••• L••

HOMEWOOD, AL | MOUNTAIN BROOK, AL

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Search this name across graphsid dfx:ria:db1e882a-92a9-2a23-8c13-af984095f46d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 4, 2016 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••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Dec 4, 2015earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Feb 20, 2025	n/a	yes	HOMEWOOD, AL\|MOUNTAIN BROOK, AL	Current employment
C•••••••• F•••••••• G•••• A•••••••	Former SEC adviser	Sep 26, 2017	Feb 20, 2025	no	Birmingham, AL\|Mountain Brook, AL\|Birmingham, AL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••••• F•••••••• G•••• A•••••••	C••••• I••••••••• A••••••• L••	Feb 20, 2025	Feb 20, 2025	0	Bulk transfer	Ibd to ibd
H••••••• A••••••••• I••	C•••••••• F•••••••• G•••• A•••••••	Jul 18, 2017	Sep 26, 2017

Relationships

Registered with (4)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Feb 20, 2025 to presentfactForm ADV
→ C•••••••• F•••••••• G•••• A•••••••Registered adviserregistration: previous registration
Sep 26, 2017 to Feb 20, 2025factForm ADV
→ H••••••• A••••••••• I••Registered adviserregistration: previous registration
Dec 5, 2016 to Jul 18, 2017factForm ADV
→ S••••• A••• A•••• M••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:db1e882a-92a9-2a23-8c13-af984095f46d
First observed: Jan 4, 2016
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.