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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)10 years in industry

R•• O••• C••••

Advisor at V••••••• A•••••••• I•••

CHARLOTTE, NC

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Search this name across graphsid dfx:ria:e7be8fcd-0327-95f7-01cc-0f1a8ba2d267

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jan 2, 2020 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: V••••••• A•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 1, 2015earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
V••••••• A•••••••• I•••	Bd affiliated wealth	Oct 19, 2022	n/a	yes	CHARLOTTE, NC	Current employment
C•••••• S••••• • C••• I•••	National bd RIA	May 17, 2021	Oct 6, 2022	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• S••••• • C••• I•••	V••••••• A•••••••• I•••	Oct 6, 2022	Oct 19, 2022	13	Firm change	Ibd to ibd
V••••••• A•••••••• I•••	C•••••• S••••• • C••• I•••	Apr 15, 2021

Relationships

Registered with (2)

→ V••••••• A•••••••• I•••Registered adviserregistration: previous registration
Jan 2, 2020 to Apr 15, 2021factForm ADV
→ C•••••• S••••• • C••• I•••Registered adviserregistration: previous registration
May 17, 2021 to Oct 6, 2022factForm ADV

Dated events

Occurred
Oct 6, 2022
Advisor changed firm
R•• O••• C•••• left C•••••• S••••• • C••• I••• for V••••••• A•••••••• I••• (registered 2022-10-19)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e7be8fcd-0327-95f7-01cc-0f1a8ba2d267
First observed: Jan 2, 2020
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.