DFX Intelligence

T••••• P••• L•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

T••••• P••• L•••••

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

Norfolk, VA | STAMFORD, CT

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Search this name across graphsid dfx:ria:203e3aa6-cda8-45d2-b30c-f6970ef7a8fe

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jan 8, 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•••••• P••••••• I••••••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 25, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• P••••••• I••••••••• A•••••••• L••	Bd affiliated wealth	May 6, 2020	n/a	yes	STAMFORD, CT\|Norfolk, VA	Current employment
W•••• F•••• A•••••••	Wirehouse	Jan 1, 2008	May 7, 2020	no	NORFOLK, VA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	S•••••• P••••••• I••••••••• A•••••••• L••	May 7, 2020	May 6, 2020	-1	Firm change	Wirehouse to RIA
A• G• E•••••• • S•••• I•••	W•••• F•••• A•••••••	Jan 1, 2008	Jan 1, 2008

Team moves

••• Locked

Team	Left	Joined	From	Kind
19616:283004:VA:2020-05-07	May 7, 2020	May 6, 2020	NORFOLK, VA	Firm change

Relationships

Registered with (3)

→ S•••••• P••••••• I••••••••• A•••••••• L••Registered adviserregistration: current employment
May 6, 2020 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jan 1, 2008 to May 7, 2020factForm ADV
→ A• G• E•••••• • S•••• I•••Registered adviserregistration: previous registration
Jan 8, 2001 to Jan 1, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:203e3aa6-cda8-45d2-b30c-f6970ef7a8fe
First observed: Jan 8, 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.