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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)23 years in industry

S•••••• M•••••• R••••••

Advisor at O•••• W•••••• I•••

RICHBORO, PA

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Search this name across graphsid dfx:ria:09831149-1818-9e53-c398-7685e5251d54

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Sep 23, 2003 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: O•••• W•••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 25, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 1derivedfrom 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
O•••• W•••••• I•••	Bd affiliated wealth	Jan 24, 2025	n/a	yes	RICHBORO, PA	Current employment
O•••• F•• I•••	Former SEC adviser	Dec 20, 2022	Jan 24, 2025	no	RICHBORO, PA\|CHERRY HILL, NJ

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
O•••• F•• I•••	O•••• W•••••• I•••	Jan 24, 2025	Jan 24, 2025	0	Bulk transfer	Ibd to ibd
W•••• F•••• A•••••••	O•••• F•• I•••	Dec 22, 2022

Relationships

Registered with (5)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
Jan 24, 2025 to presentfactForm ADV
→ O•••• F•• I•••Registered adviserregistration: previous registration
Dec 20, 2022 to Jan 24, 2025factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
May 3, 2007 to Dec 22, 2022factForm ADV
→ P•• W••••• M•••••••••

Dated events

Occurred
Dec 22, 2022
Advisor changed firm
S•••••• M•••••• R•••••• left W•••• F•••• A••••••• for O•••• F•• I••• (registered 2022-12-20)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:09831149-1818-9e53-c398-7685e5251d54
First observed: Sep 23, 2003
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.