DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

S•••• A••••• C••••

Advisor at A••••••••• F•••••••• S•••••••• L••

DOTHAN, AL

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Search this name across graphsid dfx:ria:e09afd32-c3d3-802f-9e82-b8c2698deb09

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jun 11, 2002 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••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Sep 20, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Oct 19, 2018	n/a	yes	DOTHAN, AL\|DOTHAN, AL	Current employment
I•••••• A•••••••	Independent wealth	Jul 7, 2016	Oct 25, 2018	no	Dothan, AL\|MONTGOMERY, AL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I•••••• A•••••••	A••••••••• F•••••••• S•••••••• L••	Oct 25, 2018	Oct 19, 2018	-6	Firm change	RIA to ibd
L•• F•••••••• L••	I•••••• A•••••••	Sep 25, 2018	Jul 7, 2016

Relationships

Registered with (6)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Oct 19, 2018 to presentfactForm ADV
→ I•••••• A•••••••Registered adviserregistration: previous registration
Jul 7, 2016 to Oct 25, 2018factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Apr 12, 2013 to Sep 25, 2018factForm ADV
→ P•• M•••••• A•••••• S••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e09afd32-c3d3-802f-9e82-b8c2698deb09
First observed: Jun 11, 2002
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.