DFX Intelligence

C•••• T••••• B••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

C•••• T••••• B••••••

Advisor at T••••• A••••••• S•••••••• I•••

CHARLOTTE, NC

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Search this name across graphsid dfx:ria:f5ecb304-c6a2-6c85-3c50-8c5eb9293216

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:28 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Feb 20, 1997 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: T••••• A••••••• S•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Feb 25, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
T••••• A••••••• S•••••••• I•••	Bd affiliated wealth	Aug 21, 2023	n/a	yes	CHARLOTTE, NC	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Sep 17, 2021	Dec 13, 2021	no	FORT MILL, SC\|FORT MILL, SC\|Fort MIll, SC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	T••••• A••••••• S•••••••• I•••	Dec 13, 2021	Aug 21, 2023	616	Firm change after gap	Ibd to ibd
A••••• A•• P••••••• S•••••••	L•• F•••••••• L••	Nov 13, 2020	Sep 17, 2021

Relationships

Registered with (6)

→ T••••• A••••••• S•••••••• I•••Registered adviserregistration: current employment
Aug 21, 2023 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Sep 17, 2021 to Dec 13, 2021factForm ADV
→ A••••• A•• P••••••• S•••••••Registered adviserregistration: previous registration
Jan 15, 2019 to Nov 13, 2020factForm ADV
→ B• R•••• W••••• A•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f5ecb304-c6a2-6c85-3c50-8c5eb9293216
First observed: Feb 20, 1997
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.