DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

S•••••• C•••••• D•••

Advisor at T••••• A••••••• S•••••••• I•••

MOUNT HOLLY, NC

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 9:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Nov 12, 2004 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: T••••• A••••••• S•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 22, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
T••••• A••••••• S•••••••• I•••	Bd affiliated wealth	Feb 17, 2021	n/a	yes	MOUNT HOLLY, NC	Current employment
B••• S••••••••• L••	Former SEC adviser	Jan 2, 2018	Feb 17, 2021	no	CHARLOTTE, NC\|RICHMOND, VA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••• S••••••••• L••	T••••• A••••••• S•••••••• I•••	Feb 17, 2021	Feb 17, 2021	0	Bulk transfer	Ibd to ibd
B••• I••••••••• S•••••••• I•••	B••• S••••••••• L••	Jan 2, 2018	Jan 2, 2018

Relationships

Registered with (4)

→ T••••• A••••••• S•••••••• I•••Registered adviserregistration: current employment
Feb 17, 2021 to presentfactForm ADV
→ B••• S••••••••• L••Registered adviserregistration: previous registration
Jan 2, 2018 to Feb 17, 2021factForm ADV
→ B••• I••••••••• S•••••••• I•••Registered adviserregistration: previous registration
Mar 5, 2015 to Jan 2, 2018factForm ADV
→ W•••• F•••• A•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 12, 2004
Last observed: Sep 14, 2026 10 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.