DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Analyst32 years in industry

R••••• M••• W••••

Advisor at S••••• F••••••••• L••

SARASOTA, FL

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Search this name across graphsid dfx:ria:1e4ed750-57c7-e725-7921-479b5527a187

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Mar 12, 2004 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: Jan 10, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• F••••••••• L••	Bd affiliated wealth	Dec 4, 2024	n/a	yes	SARASOTA, FL	Current employment
P••••••••• W••••• A•••••••	Independent wealth	Jan 29, 2019	Dec 2, 2024	no	Sarasota, FL\|FORT LAUDERDALE, FL\|Sarasota, FL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P••••••••• W••••• A•••••••	S••••• F••••••••• L••	Dec 2, 2024	Dec 4, 2024	2	Firm change	RIA to ibd
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	P••••••••• W••••• A•••••••	Aug 25, 2023	Jan 29, 2019

Team moves

••• Locked

Team	Left	Joined	From	Kind
149018:126529:FL:2023-08-25	Aug 25, 2023	Jan 29, 2019	SARASOTA, FL	Firm change after gap

Relationships

Registered with (6)

→ S••••• F••••••••• L••Registered adviserregistration: current employment
Dec 4, 2024 to presentfactForm ADV
→ P••••••••• W••••• A•••••••Registered adviserregistration: previous registration
Jan 29, 2019 to Dec 2, 2024factForm ADV
→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserregistration: previous registration
Oct 24, 2018 to Aug 25, 2023factForm ADV
→ M••••• S••••••

Dated events

Occurred
Dec 2, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Aug 25, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1e4ed750-57c7-e725-7921-479b5527a187
First observed: Mar 12, 2004
Last observed: Sep 14, 2026 9 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.