DFX Intelligence

T••••• H•••• B••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner12 years in industry

T••••• H•••• B••••

Advisor at S••••• W••••• M•••••••••

BIRMINGHAM, AL | ROCKFORD, IL

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Search this name across graphsid dfx:ria:10fb52cc-89b2-45a8-6c9a-65c6c2d324ed

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Nov 4, 2014 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: May 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• W••••• M•••••••••	Independent wealth	Dec 4, 2023	n/a	yes	ROCKFORD, IL\|BIRMINGHAM, AL	Current employment
B••••••••• W••••• M•••••••••	Former SEC adviser	Oct 10, 2019	Mar 19, 2024	no	BIRMINGHAM, AL\|BIRMINGHAM, AL\|Birmingham, AL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••••••••• W••••• M•••••••••	S••••• W••••• M•••••••••	Mar 19, 2024	Dec 4, 2023	-106	Firm change after gap	RIA to RIA
S••••••• F•••••••• S•••••••• I•••	B••••••••• W••••• M•••••••••	May 11, 2017	Oct 10, 2019

Team moves

••• Locked

Team	Left	Joined	From	Kind
164100:107271:AL:2024-03-19	Mar 19, 2024	Dec 4, 2023	BIRMINGHAM, AL	Firm change after gap

Relationships

Registered with (3)

→ S••••• W••••• M•••••••••Registered adviserregistration: current employment
Dec 4, 2023 to presentfactForm ADV
→ B••••••••• W••••• M•••••••••Registered adviserregistration: previous registration
Oct 10, 2019 to Mar 19, 2024factForm ADV
→ S••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Nov 4, 2014 to May 11, 2017factForm ADV

Dated events

Occurred
Mar 19, 2024
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:10fb52cc-89b2-45a8-6c9a-65c6c2d324ed
First observed: Nov 4, 2014
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.