DFX Intelligence

C••••••••• J•••• C•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

C••••••••• J•••• C•••••

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

Indian Trail, NC | CHARLOTTE, NC

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Search this name across graphsid dfx:ria:dbe1d6e6-c1dd-0034-8956-a1112d1d81b9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Dec 6, 2007 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: Aug 11, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••• A•• P••••••• S•••••••	Bd affiliated wealth	Sep 22, 2023	n/a	yes	CHARLOTTE, NC\|Indian Trail, NC	Current employment
E•••••• C•••••• M••••••••• L••	Former SEC adviser	Nov 30, 2017	Aug 15, 2023	no	Charlotte, NC\|ARLINGTON, VA\|CHARLOTTE, NC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E•••••• C•••••• M••••••••• L••	A••••• A•• P••••••• S•••••••	Aug 15, 2023	Sep 22, 2023	38	Firm change	RIA to ibd
S•••••••• I••••••••• M•••••••••	E•••••• C•••••• M••••••••• L••	Nov 14, 2017	Nov 30, 2017

Team moves

••• Locked

Team	Left	Joined	From	Kind
169988:42159:MO:2017-11-14	Nov 14, 2017	Nov 30, 2017	SAINT LOUIS, MO	Firm change

Relationships

Registered with (4)

→ A••••• A•• P••••••• S•••••••Registered adviserregistration: current employment
Sep 22, 2023 to presentfactForm ADV
→ E•••••• C•••••• M••••••••• L••Registered adviserregistration: previous registration
Nov 30, 2017 to Aug 15, 2023factForm ADV
→ S•••••••• I••••••••• M•••••••••Registered adviserregistration: previous registration
Jul 25, 2016 to Nov 14, 2017factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

Occurred
Aug 15, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:dbe1d6e6-c1dd-0034-8956-a1112d1d81b9
First observed: Dec 6, 2007
Last observed: Sep 14, 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.