DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner23 years in industry

D•••• A•••• E••••

Advisor at W•••••• A•••••••• L••

BIRMINGHAM, AL | PAOLI, PA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jun 22, 2004 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: W•••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Dec 6, 2002earliest 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: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••••• A•••••••• L••	Independent wealth	Dec 16, 2024	n/a	yes	PAOLI, PA\|BIRMINGHAM, AL	Current employment
P••••••• C•••••• M••••••••• C••••	Former SEC adviser	Mar 31, 2021	Feb 6, 2025	no	PAOLI, PA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P••••••• C•••••• M••••••••• C••••	W•••••• A•••••••• L••	Feb 6, 2025	Dec 16, 2024	-52	Firm change after gap	RIA to RIA
T•• M••••••• F•••••••• G••••• I••	P••••••• C•••••• M••••••••• C••••	Apr 7, 2021	Mar 31, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
112994:115332:PA:2025-02-06	Feb 6, 2025	Dec 16, 2024	PAOLI, PA	Firm change after gap

Relationships

Registered with (5)

→ W•••••• A•••••••• L••Registered adviserregistration: current employment
Dec 16, 2024 to presentfactForm ADV
→ P••••••• C•••••• M••••••••• C••••Registered adviserregistration: previous registration
Mar 31, 2021 to Feb 6, 2025factForm ADV
→ T•• M••••••• F•••••••• G••••• I••Registered adviserregistration: previous registration
Sep 9, 2011 to Apr 7, 2021factForm ADV
→ U•••••• I••••••••• I•••

Dated events

Order

Occurred
6 Feb 2025
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 22, 2004
Last observed: Sep 14, 2026 9 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.