DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)18 years in industry

E••••• L• K•••••

Advisor at F•••• C••••••• I••••••• S•••••••• I•••

CHARLOTTE, NC | RALEIGH, NC

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Search this name across graphsid dfx:ria:f4886c9c-ad62-0916-4778-644daaf9624e

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Feb 22, 2010 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: F•••• C••••••• I••••••• S•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 2, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
F•••• C••••••• I••••••• S•••••••• I•••	Bd affiliated wealth	Dec 19, 2012	n/a	yes	CHARLOTTE, NC\|RALEIGH, NC	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Oct 13, 2011	Dec 18, 2012	no	CHARLOTTE, NC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	F•••• C••••••• I••••••• S•••••••• I•••	Dec 18, 2012	Dec 19, 2012	1	Firm change	Other
M••••• S••••••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Aug 19, 2011	Oct 13, 2011

Relationships

Registered with (3)

→ F•••• C••••••• I••••••• S•••••••• I•••Registered adviserregistration: current employment
Dec 19, 2012 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Oct 13, 2011 to Dec 18, 2012factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Feb 22, 2010 to Aug 19, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f4886c9c-ad62-0916-4778-644daaf9624e
First observed: Feb 22, 2010
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.