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

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RIA / WealthAdvisor25 years in industry

S••••• M•••• V•••••••

Advisor at C•••••••

Charlotte, NC

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Search this name across graphsid dfx:ria:f40f686c-cb26-a094-532e-a8bce5262a4b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Sep 18, 2003 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: C•••••••
Current firm class: institutional managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 3, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3

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•••••••	Institutional manager	Jun 21, 2023	n/a	yes	Charlotte, NC	Current employment
C•••••• L••	Independent wealth	Apr 8, 2016	Jun 14, 2023	no	CHARLOTTE, NC\|CHARLOTTE, NC

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•••••• L••	C•••••••	Jun 14, 2023	Jun 21, 2023	7	Firm change	Other
C•••••••• I••••••••• C••••••••• L••	C•••••• L••	Mar 22, 2016

Relationships

Registered with (4)

→ C•••••••Registered adviserregistration: current employment
Jun 21, 2023 to presentfactForm ADV
→ C•••••• L••Registered adviserregistration: previous registration
Apr 8, 2016 to Jun 14, 2023factForm ADV
→ C•••••••• I••••••••• C••••••••• L••Registered adviserregistration: previous registration
Aug 15, 2006 to Mar 22, 2016factForm ADV
→ C•••••••• G••••• M•••••• I•••

Dated events

Occurred
Jun 14, 2023
Advisor changed firm
S••••• M•••• V••••••• left C•••••• L•• for Captrust (registered 2023-06-21)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f40f686c-cb26-a094-532e-a8bce5262a4b
First observed: Sep 18, 2003
Last observed: Sep 14, 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.