DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

C••••••• H•••• W•••••••

Advisor at S•••••• P••••••• I••••••••• A•••••••• L••

STAMFORD, CT | CHARLOTTE, NC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:f8c3d19e-c10a-f927-cacf-88cd32a194d8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Mar 15, 2010 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: S•••••• P••••••• I••••••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 1, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• P••••••• I••••••••• A•••••••• L••	Bd affiliated wealth	Mar 15, 2024	n/a	yes	STAMFORD, CT\|CHARLOTTE, NC\|CHARLOTTE, NC	Current employment
E••• W••••• M••••••••• L•••••	Former SEC adviser	Mar 24, 2024	Jan 28, 2025	no	CHARLOTTE, NC\|SOUTHERN SHORES, NC\|CHARLOTTE, NC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E••• W••••• M••••••••• L•••••	n/a	Jan 28, 2025	n/a	n/a	Departure no registered destination	Departure
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	S•••••• P••••••• I••••••••• A•••••••• L••	Mar 15, 2024	Mar 15, 2024

Team moves

••• Locked

Team	Left	Joined	From	Kind
149018:283004:NC:2024-03-15	Mar 15, 2024	Mar 15, 2024	CHARLOTTE, NC	Firm change

Relationships

Registered with (5)

→ S•••••• P••••••• I••••••••• A•••••••• L••Registered adviserregistration: current employment
Mar 15, 2024 to presentfactForm ADV
→ E••• W••••• M••••••••• L•••••Registered adviserregistration: previous registration
Mar 24, 2024 to Jan 28, 2025factForm ADV
→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserregistration: previous registration
Feb 22, 2019 to Mar 15, 2024factForm ADV
→ E••••• J••••

Dated events

Occurred
Jan 28, 2025
Advisor departed, no destination yet
C••••••• H•••• W••••••• no longer registered at E••• W••••• M••••••••• L•••••; no later IA registration on IAPD
Form ADVobserved 7 days ago
Occurred
Mar 15, 2024
Advisor changed firm
C••••••• H•••• W••••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for S•••••• P••••••• I••••••••• A•••••••• L•• (registered 2024-03-15)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f8c3d19e-c10a-f927-cacf-88cd32a194d8
First observed: Mar 15, 2010
Last observed: Sep 14, 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.