DFX Intelligence

D••••• A• O•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

D••••• A• O•••••

Advisor at I• F•••••••• A••••••• S••••••• L••

West Palm Beach, FL | CHARLOTTE, NC

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Search this name across graphsid dfx:ria:fbf67566-8327-b306-1097-65c842794768

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 25, 1996 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: I• F•••••••• A••••••• S••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Nov 28, 1994earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
I• F•••••••• A••••••• S••••••• L••	Independent wealth	Aug 3, 2020	n/a	yes	CHARLOTTE, NC\|West Palm Beach, FL	Current employment
O•••• F•• I•••	Former SEC adviser	Apr 3, 2019	Jul 20, 2020	no	RALEIGH, NC\|West Palm Beach, FL\|WEST PALM BEACH, FL\|RALEIGH, NC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O•••• F•• I•••	I• F•••••••• A••••••• S••••••• L••	Jul 20, 2020	Aug 3, 2020	14	Firm change	Ibd to RIA
L••••• F••••••••• I•••	O•••• F•• I•••	Apr 2, 2019	Apr 3, 2019

Relationships

Registered with (5)

→ I• F•••••••• A••••••• S••••••• L••Registered adviserregistration: current employment
Aug 3, 2020 to presentfactForm ADV
→ O•••• F•• I•••Registered adviserregistration: previous registration
Apr 3, 2019 to Jul 20, 2020factForm ADV
→ L••••• F••••••••• I•••Registered adviserregistration: previous registration
Nov 13, 2013 to Apr 2, 2019factForm ADV
→ M••••• S••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fbf67566-8327-b306-1097-65c842794768
First observed: Jan 25, 1996
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.