DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Analyst20 years in industry

A••• D•••• C•••••••

Advisor at S••••• W••••• M•••••••••

Beaverton, OR | ROCKFORD, IL

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Search this name across graphsid dfx:ria:0a73ca07-4b8f-432a-1ed8-78315757144b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Sep 12, 2006 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••••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Sep 11, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• W••••• M•••••••••	Independent wealth	May 4, 2026	n/a	yes	ROCKFORD, IL\|Beaverton, OR	Current employment
N•••• R••••	Former SEC adviser	Nov 24, 2014	Jun 9, 2026	no	BEAVERTON, OR\|PORTLAND, OR	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N•••• R••••	S••••• W••••• M•••••••••	Jun 9, 2026	May 4, 2026	-36	Firm change after gap	RIA to RIA
V•••• C•••••• P•••••••• I•••	N•••• R••••	Apr 24, 2014	Nov 24, 2014

Team moves

••• Locked

Team	Left	Joined	From	Kind
157516:107271:OR:2026-06-09	Jun 9, 2026	May 4, 2026	PORTLAND, OR	Firm change after gap

Relationships

Registered with (3)

→ S••••• W••••• M•••••••••Registered adviserregistration: current employment
May 4, 2026 to presentfactForm ADV
→ N•••• R••••Registered adviserregistration: previous registration
Nov 24, 2014 to Jun 9, 2026factForm ADV
→ V•••• C•••••• P•••••••• I•••Registered adviserregistration: previous registration
Sep 12, 2006 to Apr 24, 2014factForm ADV

Dated events

Occurred
Jun 9, 2026
Advisor changed firm
A••• D•••• C••••••• left N•••• R•••• for S••••• W••••• M••••••••• (registered 2026-05-04)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0a73ca07-4b8f-432a-1ed8-78315757144b
First observed: Sep 12, 2006
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.