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D•••••• A•••••• R••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

D•••••• A•••••• R••••

Advisor at C•••••••• I••••••••• R••••••• A•••••••• I•••

Hickory, NC | Mooresville, NC

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Search this name across graphsid dfx:ria:e8b2a221-db4b-3716-cafc-4fcd7e101e6a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: May 31, 2002 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: C•••••••• I••••••••• R••••••• 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: May 30, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 1derivedfrom 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
C•••••••• I••••••••• R••••••• A•••••••• I•••	Bd affiliated wealth	Jun 16, 2025	n/a	yes	Hickory, NC\|Mooresville, NC	Current employment
M••••••••• I••••••••• A•• R••••••••• A•••••••• L••	Institutional manager	Jun 24, 2022	Jun 17, 2025	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
M••••••••• I••••••••• A•• R••••••••• A•••••••• L••	C•••••••• I••••••••• R••••••• A•••••••• I•••	Jun 17, 2025	Jun 16, 2025	-1	Firm change	Other
C•••••••• I••••••••• R••••••• A•••••••• I•••	M••••••••• I••••••••• A•• R••••••••• A•••••••• L••	Jun 23, 2022

Relationships

Registered with (6)

→ C•••••••• I••••••••• R••••••• A•••••••• I•••Registered adviserregistration: previous registration
Feb 9, 2007 to Jun 23, 2022factForm ADV
→ M••••••••• I••••••••• A•• R••••••••• A•••••••• L••Registered adviserregistration: previous registration
Jun 24, 2022 to Jun 17, 2025factForm ADV
→ O••••••• F•••••••• G••••• I•••Registered adviserregistration: previous registration
Feb 22, 2006 to Mar 27, 2007factForm ADV
→ B••••••••• S••••••••• C•••••••••

Dated events

Occurred
Jun 17, 2025
Advisor changed firm
D•••••• A•••••• R•••• left M••••••••• I••••••••• A•• R••••••••• A•••••••• L•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2025-06-16)
Form ADVobserved 7 days ago
Occurred
Jun 23, 2022
Advisor changed firm
D•••••• A•••••• R•••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for M••••••••• I••••••••• A•• R••••••••• A•••••••• L•• (registered 2022-06-24)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e8b2a221-db4b-3716-cafc-4fcd7e101e6a
First observed: May 31, 2002
Last observed: Sep 15, 2026 7 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.