DFX Intelligence

S••••• M••••••• C••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultant14 years in industry

S••••• M••••••• C••••

Advisor at T•••• W••••• A•••••••

MATTHEWS, NC

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Search this name across graphsid dfx:ria:fe8eee81-31c0-a546-e1e4-da8500be4e10

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Nov 12, 2013 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•••• W••••• A•••••••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Jan 1, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
T•••• W••••• A•••••••	State registered	Jan 8, 2024	n/a	yes	MATTHEWS, NC	Current employment
A•••••• W••••• M••••••••• L••	Independent wealth	Oct 8, 2021	Jan 5, 2024	no	MOUNT PLEASANT, SC\|MATTHEWS, NC	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A•••••• W••••• M••••••••• L••	T•••• W••••• A•••••••	Jan 5, 2024	Jan 8, 2024	3	Firm change	RIA to state RIA
N••••••••• M••••• I••••••••• S•••••••••	A•••••• W••••• M••••••••• L••	Sep 14, 2016	Oct 8, 2021

Relationships

Registered with (3)

→ T•••• W••••• A•••••••Registered adviserregistration: current employment
Jan 8, 2024 to presentfactForm ADV
→ A•••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Oct 8, 2021 to Jan 5, 2024factForm ADV
→ N••••••••• M••••• I••••••••• S•••••••••Registered adviserregistration: previous registration
Nov 12, 2013 to Sep 14, 2016factForm ADV

Dated events

Occurred
Jan 5, 2024
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fe8eee81-31c0-a546-e1e4-da8500be4e10
First observed: Nov 12, 2013
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.