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

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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

S• D•••• D••••

Advisor at C•••••• I••••••••• A••••••• S•••••••• L••

DAVIDSON, NC | RALEIGH, NC

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Search this name across graphsid dfx:ria:ec9c4780-9ded-1191-ffa6-bf3741fc6d07

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Dec 31, 2001 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••••••••• A••••••• S•••••••• L••
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: Oct 8, 1992earliest registration or exam on IAPD
Years in industry: 33derivedfrom 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••••••••• A••••••• S•••••••• L••	Bd affiliated wealth	Dec 17, 2024	n/a	yes	RALEIGH, NC\|DAVIDSON, NC	Current employment
C•••••••• F•••••••• G•••• A•••••••	Former SEC adviser	Sep 13, 2017	Dec 19, 2024	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•••••••• F•••••••• G•••• A•••••••	C•••••• I••••••••• A••••••• S•••••••• L••	Dec 19, 2024	Dec 17, 2024	-2	Firm change	Ibd to ibd
O•••• F•• I•••	C•••••••• F•••••••• G•••• A•••••••	Sep 13, 2017

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
15708:149124:NC:2024-12-19	Dec 19, 2024	Dec 17, 2024	DAVIDSON, NC	Firm change
3870:15708:NC:2017-09-13	Sep 13, 2017	Sep 13, 2017	DAVIDSON, NC	Firm change

Relationships

Registered with (4)

→ C•••••• I••••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Dec 17, 2024 to presentfactForm ADV
→ C•••••••• F•••••••• G•••• A•••••••Registered adviserregistration: previous registration
Sep 13, 2017 to Dec 19, 2024factForm ADV
→ O•••• F•• I•••Registered adviserregistration: previous registration
Sep 20, 2010 to Sep 13, 2017factForm ADV
→ M•• F•••••••• S•••••••• I•••

Dated events

Occurred
Dec 19, 2024
Advisor changed firm
S• D•••• D•••• left C•••••••• F•••••••• G•••• A••••••• for C•••••• I••••••••• A••••••• S•••••••• L•• (registered 2024-12-17)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ec9c4780-9ded-1191-ffa6-bf3741fc6d07
First observed: Dec 31, 2001
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.