DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

N••••••• C••••••••• C••••••••

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

CHARLOTTE, NC | China Grove, NC

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Search this name across graphsid dfx:ria:e40f5b32-6d15-f7ca-a49f-a7249d11fe62

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Aug 13, 2012 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: A••••• A•• P••••••• S•••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Nov 1, 2007earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••• A•• P••••••• S•••••••	Bd affiliated wealth	Oct 10, 2016	n/a	yes	CHARLOTTE, NC\|China Grove, NC	Current employment
A••••• A•• P••••••• S•••••••	Bd affiliated wealth	Aug 13, 2012	Sep 23, 2016	no	CHARLOTTE, NC\|CHARLOTTE, NC

Relationships

Registered with (1)

→ A••••• A•• P••••••• S•••••••Registered adviserregistration: previous registration
Aug 13, 2012 to Sep 23, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e40f5b32-6d15-f7ca-a49f-a7249d11fe62
First observed: Aug 13, 2012
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.