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.

Current firm

SPC

Current firm class

broker-dealer affiliated wealth managerderived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Mar 1, 2009earliest registration or exam on IAPD

Years in industry

17derivedfrom the industry start date

Years at current firm

1derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

1

Designations

Certified Financial Planner

Exams

S65|S63

First exam

Jan 20, 2012

First registration

Jan 26, 2012

Dual registered

yes, broker-dealer

IAPD individual key

5501911

Graph

RIA / Wealth Management

Canonical id

dfx:ria:1d789cff-b122-c7b9-b3ff-dead84b47edc

First observed

Jan 26, 2012

Last observed

Sep 14, 2026 6 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.