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

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RIA / WealthAdvisorCertified Financial Planner13 years in industry

T•••••• R••• D•••••••

Advisor at S••••• W••••• M•••••••••

ROCKFORD, IL | Westwood, MA

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Search this name across graphsid dfx:ria:0bdefa80-ce9d-1957-3602-8772668f1a24

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Mar 13, 2023 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 1, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom 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••••• M•••••••••	Independent wealth	Mar 16, 2026	n/a	yes	Westwood, MA\|ROCKFORD, IL	Current employment
H••••••• F•••••••• S•••••••	Former SEC adviser	Mar 13, 2023	Mar 19, 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
H••••••• F•••••••• S•••••••	S••••• W••••• M•••••••••	Mar 19, 2026	Mar 16, 2026	-3	Firm change	RIA to RIA

Team moves

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

Team	Left	Joined	From	Kind
127268:107271:MA:2026-03-19	Mar 19, 2026	Mar 16, 2026	WESTWOOD, MA	Firm change

Relationships

Registered with (2)

→ S••••• W••••• M•••••••••Registered adviserregistration: current employment
Mar 16, 2026 to presentfactForm ADV
→ H••••••• F•••••••• S•••••••Registered adviserregistration: previous registration
Mar 13, 2023 to Mar 19, 2026factForm ADV

Dated events

Occurred
Mar 19, 2026
Advisor changed firm
T•••••• R••• D••••••• left H••••••• F•••••••• S••••••• for S••••• W••••• M••••••••• (registered 2026-03-16)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0bdefa80-ce9d-1957-3602-8772668f1a24
First observed: Mar 13, 2023
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.