DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)24 years in industry

L••••• W••••• W•••••

Advisor at T•• I••••••••• A•••• M••••••••• L••

CHARLOTTE, NC | PORTLAND, OR

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Search this name across graphsid dfx:ria:f452db5b-3522-8763-1c86-ab49d9f17f1c

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 7, 2004 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: T•• I••••••••• A•••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 16, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
T•• I••••••••• A•••• M••••••••• L••	Independent wealth	Jul 26, 2019	n/a	yes	CHARLOTTE, NC\|PORTLAND, OR	Current employment
Y••••••••• W••••• S••••••••• L••	Former SEC adviser	Nov 5, 2018	Jun 27, 2019	no	CHARLOTTE, NC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
Y••••••••• W••••• S••••••••• L••	T•• I••••••••• A•••• M••••••••• L••	Jun 27, 2019	Jul 26, 2019	29	Firm change	RIA to RIA
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Y••••••••• W••••• S••••••••• L••	Nov 7, 2018	Nov 5, 2018

Team moves

••• Locked

Team	Left	Joined	From	Kind
299111:168256:NC:2019-06-27	Jun 27, 2019	Jul 26, 2019	CHARLOTTE, NC	Firm change
7691:299111:NC:2018-11-07	Nov 7, 2018	Nov 5, 2018	HUNTERSVILLE, NC	Firm change

Relationships

Registered with (4)

→ T•• I••••••••• A•••• M••••••••• L••Registered adviserregistration: current employment
Jul 26, 2019 to presentfactForm ADV
→ Y••••••••• W••••• S••••••••• L••Registered adviserregistration: previous registration
Nov 5, 2018 to Jun 27, 2019factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Oct 26, 2007 to Nov 7, 2018factForm ADV
→ A• G• E•••••• • S•••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f452db5b-3522-8763-1c86-ab49d9f17f1c
First observed: Apr 7, 2004
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.