DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)12 years in industry

C••••• T•••• H••••

Advisor at S••••• F••••••••• L••

SARASOTA, FL

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Search this name across graphsid dfx:ria:1c371350-4073-516c-5685-d31d0fa1e236

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: Dec 24, 2018 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••••• F••••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• F••••••••• L••	Bd affiliated wealth	Apr 14, 2025	n/a	yes	SARASOTA, FL	Current employment
L•• A•••••••• L••	Former SEC adviser	Apr 12, 2024	Jun 11, 2025	no	SARASOTA, FL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• A•••••••• L••	S••••• F••••••••• L••	Jun 11, 2025	Apr 14, 2025	-58	Firm change after gap	RIA to ibd
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	L•• A•••••••• L••	Apr 2, 2024	Apr 12, 2024

Team moves

••• Locked

Team	Left	Joined	From	Kind
298068:299322:FL:2025-06-11	Jun 11, 2025	Apr 14, 2025	SARASOTA, FL	Firm change after gap
250:149018:MA:2022-10-15	Oct 15, 2022	Oct 18, 2022	NORTH ATTLEBORO, MA	Firm change

Relationships

Registered with (4)

→ S••••• F••••••••• L••Registered adviserregistration: current employment
Apr 14, 2025 to presentfactForm ADV
→ L•• A•••••••• L••Registered adviserregistration: previous registration
Apr 12, 2024 to Jun 11, 2025factForm ADV
→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserregistration: previous registration
Oct 18, 2022 to Apr 2, 2024factForm ADV
→ E••••• J••••

Dated events

Occurred
Jun 11, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Apr 2, 2024
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Oct 15, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1c371350-4073-516c-5685-d31d0fa1e236
First observed: Dec 24, 2018
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.