DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

M••• B•••••• S•••••

Advisor at SPC

ANN ARBOR, MI | Mooresville, NC

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Search this name across graphsid dfx:ria:f4290b63-7164-6b26-1b78-37303d6fd5f3

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Feb 17, 2009 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: SPC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Feb 13, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••	Bd affiliated wealth	Sep 21, 2020	n/a	yes	ANN ARBOR, MI\|Mooresville, NC	Current employment
S•• A•••••••• I•••	Former SEC adviser	Mar 4, 2013	Sep 14, 2020	no	MOORESVILLE, NC	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•• A•••••••• I•••	S••	Sep 14, 2020	Sep 21, 2020	7	Firm change	Ibd to ibd
S••••••••• A•••••• A•••••••• I•••	S•• A•••••••• I•••	Feb 22, 2013	Mar 4, 2013

Relationships

Registered with (6)

→ S••Registered adviserregistration: current employment
Sep 21, 2020 to presentfactForm ADV
→ S•• A•••••••• I•••Registered adviserregistration: previous registration
Mar 4, 2013 to Sep 14, 2020factForm ADV
→ S••••••••• A•••••• A•••••••• I•••Registered adviserregistration: previous registration
Sep 14, 2011 to Feb 22, 2013factForm ADV
→ A••••••• A••••••• S•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f4290b63-7164-6b26-1b78-37303d6fd5f3
First observed: Feb 17, 2009
Last observed: Sep 15, 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.