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

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RIA / WealthAdvisor12 years in industry

S••••• G•••• M••••••••

Advisor at S••••••••• W•••••• L••

DUBUQUE, IA

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:019bd24d-54dd-9011-ee1d-8688047ab4d5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 3
On other graphs: 0
Observed: Feb 24, 2017 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••••••••• W•••••• L••
Current firm class: no raum reportedderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
S••••••••• W•••••• L••	No RAUM reported	Jun 24, 2026	n/a	yes	DUBUQUE, IA	Current employment
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Feb 21, 2025	Jun 30, 2026	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
A••••••••• F•••••••• S•••••••• L••	S••••••••• W•••••• L••	Jun 30, 2026	Jun 24, 2026	-6	Firm change	Ibd to new firm
W••••• E••••••••• A••••••• S•••••••• L••	A••••••••• F•••••••• S•••••••• L••	Feb 21, 2025

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
6363:342692:IA:2026-06-29	Jun 30, 2026	Jun 24, 2026	DUBUQUE, IA	Firm change

Relationships

Registered with (6)

→ S••••••••• W•••••• L••Registered adviserregistration: current employment
Jun 24, 2026 to presentfactForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Feb 21, 2025 to Jun 30, 2026factForm ADV
→ W••••• E••••••••• A••••••• S•••••••• L••Registered adviserregistration: previous registration
Jan 19, 2024 to Feb 21, 2025factForm ADV
→ A•••••• P••••••• P•••••••• I•••

Dated events

Occurred
Jun 30, 2026
Advisor changed firm
S••••• G•••• M•••••••• left A••••••••• F•••••••• S•••••••• L•• for S••••••••• W•••••• L•• (registered 2026-06-24)
Form ADVobserved 7 days ago
Occurred
Feb 21, 2025
Advisor changed firm
S••••• G•••• M•••••••• left W••••• E••••••••• A••••••• S•••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2025-02-21)
Form ADVobserved 7 days ago
Occurred
Jan 17, 2024
Advisor changed firm
S••••• G•••• M•••••••• left A•••••• P••••••• P•••••••• I••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-01-19)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:019bd24d-54dd-9011-ee1d-8688047ab4d5
First observed: Feb 24, 2017
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.