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L••• M••••• E•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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

L••• M••••• E•••••••

Advisor at I• F•••••••• A••••••• S••••••• L••

CHARLOTTE, NC | Riverside, CA

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Search this name across graphsid dfx:ria:efade03a-6236-3cc0-467f-b53029742c6c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Dec 13, 2001 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: I• F•••••••• A••••••• S••••••• L••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 10, 2001earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 4derivedfrom 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
I• F•••••••• A••••••• S••••••• L••	Independent wealth	Feb 24, 2022	n/a	yes	Riverside, CA\|CHARLOTTE, NC	Current employment
F•••• F•••••••• E••••• C•••••••••	Former SEC adviser	Oct 16, 2014	Mar 2, 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
F•••• F•••••••• E••••• C•••••••••	I• F•••••••• A••••••• S••••••• L••	Mar 2, 2022	Feb 24, 2022	-6	Firm change	Ibd to ibd
N•••••• C•••• A•••• M•••••••••	F•••• F•••••••• E••••• C•••••••••	Oct 22, 2014

Relationships

Registered with (6)

→ I• F•••••••• A••••••• S••••••• L••Registered adviserregistration: current employment
Feb 24, 2022 to presentfactForm ADV
→ F•••• F•••••••• E••••• C•••••••••Registered adviserregistration: previous registration
Oct 16, 2014 to Mar 2, 2022factForm ADV
→ N•••••• C•••• A•••• M•••••••••Registered adviserregistration: previous registration
Jun 27, 2012 to Oct 22, 2014factForm ADV
→ K••••• A•••••••• I•••

Dated events

Occurred
Mar 2, 2022
Advisor changed firm
L••• M••••• E••••••• left F•••• F•••••••• E••••• C••••••••• for I• F•••••••• A••••••• S••••••• L•• (registered 2022-02-24)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:efade03a-6236-3cc0-467f-b53029742c6c
First observed: Dec 13, 2001
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.