DFX Intelligence

R•••••• T••• D••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

R•••••• T••• D••••

Advisor at W••••••••• A••••••• P••••••• L••

WEST CHESTER, PA | Winston-Salem, NC

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Dec 31, 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: W••••••••• A••••••• P••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Nov 10, 1995earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W••••••••• A••••••• P••••••• L••	Bd affiliated wealth	Jul 14, 2021	n/a	yes	WEST CHESTER, PA\|Winston-Salem, NC	Current employment
E•••••••• A•••••••	Former SEC adviser	Feb 2, 2017	Oct 29, 2021	no	Winston Salem, NC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E•••••••• A•••••••	W••••••••• A••••••• P••••••• L••	Oct 29, 2021	Jul 14, 2021	-107	Firm change after gap	RIA to RIA
W•••• F•••••••• C•••••••• L••	E•••••••• A•••••••	Aug 11, 2021	Feb 2, 2017

Team moves

••• Locked

Team	Left	Joined	From	Kind
142190:150144:NC:2021-08-11	Aug 11, 2021	Feb 2, 2017	WINSTON SALEM, NC	Firm change after gap

Relationships

Registered with (5)

→ W••••••••• A••••••• P••••••• L••Registered adviserregistration: current employment
Jul 14, 2021 to presentfactForm ADV
→ E•••••••• A•••••••Registered adviserregistration: previous registration
Feb 2, 2017 to Oct 29, 2021factForm ADV
→ W•••• F•••••••• C•••••••• L••Registered adviserregistration: previous registration
Apr 17, 2007 to Aug 11, 2021factForm ADV
→ T•••• A•••••••• L••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Dec 31, 2001
Last observed: Sep 14, 2026 9 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.