DFX Intelligence

A•• P••••••• R•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)18 years in industry

A•• P••••••• R•••

Advisor at S•••••• P••••••• I••••••••• A•••••••• L••

Clearwater, FL | STAMFORD, CT

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Search this name across graphsid dfx:ria:192a5ce0-f3ae-aee9-4e1a-f82afa7ec844

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Feb 22, 2011 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•••••• P••••••• I••••••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 1, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• P••••••• I••••••••• A•••••••• L••	Bd affiliated wealth	Mar 3, 2017	n/a	yes	Clearwater, FL\|STAMFORD, CT	Current employment
M••••• S••••••	Wirehouse	Feb 22, 2011	Jan 30, 2017	no	CLEARWATER, FL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	S•••••• P••••••• I••••••••• A•••••••• L••	Jan 30, 2017	Mar 3, 2017	32	Firm change	Other

Team moves

••• Locked

Team	Left	Joined	From	Kind
149777:283004:FL:2017-01-30	Jan 30, 2017	Mar 3, 2017	CLEARWATER, FL	Firm change

Relationships

Registered with (2)

→ S•••••• P••••••• I••••••••• A•••••••• L••Registered adviserregistration: current employment
Mar 3, 2017 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Feb 22, 2011 to Jan 30, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:192a5ce0-f3ae-aee9-4e1a-f82afa7ec844
First observed: Feb 22, 2011
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.