DFX Intelligence

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

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RIA / WealthAdvisor39 years in industry

D•••• C• T••••••••

Advisor at S••••• W••••• M••••••••• L••

SAN MATEO, CA | FAIRFIELD, NJ

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Search this name across graphsid dfx:ria:014970f1-d39f-5c98-d849-b5548a5cc00b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 2
Observed: Aug 19, 2004 to Sep 14, 2026

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

D•••• C•••••• T••••••••

same person, same CRD on Schedule A · confidence 95% · family precision 100%

Venture Capitalidentity

D•••• C•••••• T••••••••

same person, same CRD on Schedule A · confidence 95% · family precision 100%

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: S••••• W••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 28, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• W••••• M••••••••• L••	Independent wealth	Jan 7, 2026	n/a	yes	SAN MATEO, CA\|FAIRFIELD, NJ	Current employment
S••••• W••••• M••••••••• L••	Independent wealth	Oct 14, 2025	Dec 31, 2025	no	SAN MATEO, CA\|FAIRFIELD, NJ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
J••• M••••• P•••••• W••••• A••••••• L••	F•••• R••••••• S••••••••• C••••••• L••	Jul 17, 2024	Mar 25, 2011	-4,863	Firm change after gap	Other
J••• M••••• S••••••••• L••	S••••• W••••• M••••••••• L••	Jul 13, 2024	Oct 14, 2025

Relationships

Registered with (5)

→ S••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Oct 14, 2025 to Dec 31, 2025factForm ADV
→ J••• M••••• P•••••• W••••• A••••••• L••Registered adviserregistration: previous registration
Jul 14, 2010 to Jul 17, 2024factForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
May 29, 2024 to Jul 13, 2024factForm ADV
→ F•••• R••••••• S••••••••• C••••••• L••

Dated events

Occurred
Jul 17, 2024
Advisor changed firm
D•••• C• T•••••••• left J••• M••••• P•••••• W••••• A••••••• L•• for F•••• R••••••• S••••••••• C••••••• L•• (registered 2011-03-25)
Form ADVobserved 7 days ago
Occurred
Jul 13, 2024
Advisor changed firm
D•••• C• T•••••••• left J••• M••••• S••••••••• L•• for S••••• W••••• M••••••••• L•• (registered 2025-10-14)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:014970f1-d39f-5c98-d849-b5548a5cc00b
First observed: Aug 19, 2004
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.