DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)28 years in industry

D••••• M•••••

Advisor at S•• W•••••

Boston, MA | CHARLOTTE, NC

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Search this name across graphsid dfx:ria:185c4def-948e-0487-fec7-0b87f5bbe03d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Oct 12, 2001 to Sep 15, 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•••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: May 13, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•• W•••••	Independent wealth	May 28, 2026	n/a	yes	Boston, MA	Current employment
F•••• C••••••• I••••••• S•••••••• I•••	Bd affiliated wealth	Aug 27, 2024	n/a	yes	Boston, MA\|CHARLOTTE, NC	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	F•••• C••••••• I••••••• S•••••••• I•••	Apr 10, 2024	Aug 27, 2024	139	Firm change	Wirehouse to ibd
T••••• A••••••• S•••••••• I•••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Jun 20, 2017

Relationships

Registered with (5)

→ S•• W•••••Registered adviserregistration: current employment
May 28, 2026 to presentfactForm ADV
→ F•••• C••••••• I••••••• S•••••••• I•••Registered adviserregistration: current employment
Aug 27, 2024 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Jul 13, 2017 to Apr 10, 2024factForm ADV
→ T••••• A••••••• S•••••••• I•••

Dated events

Occurred
Apr 10, 2024
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:185c4def-948e-0487-fec7-0b87f5bbe03d
First observed: Oct 12, 2001
Last observed: Sep 15, 2026 7 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.