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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)39 years in industry

D•••• L••

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

Stuart, FL | STAMFORD, CT

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Search this name across graphsid dfx:ria:20eac3b7-3941-de53-432f-4fe55c0c8c44

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Oct 21, 1999 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 10, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• P••••••• I••••••••• A•••••••• L••	Bd affiliated wealth	Feb 3, 2026	n/a	yes	STAMFORD, CT\|Stuart, FL	Current employment
R•••••• J•••• • A••••••••• I•••	National bd RIA	Mar 16, 2017	Feb 3, 2026	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
R•••••• J•••• • A••••••••• I•••	S•••••• P••••••• I••••••••• A•••••••• L••	Feb 3, 2026	Feb 3, 2026	0	Firm change	Ibd to ibd
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	R•••••• J•••• • A••••••••• I•••	Feb 27, 2017

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
705:283004:FL:2026-02-03	Feb 3, 2026	Feb 3, 2026	STUART, FL	Firm change
7691:705:FL:2017-02-27	Feb 27, 2017	Mar 16, 2017	STUART, FL	Firm change

Relationships

Registered with (3)

→ S•••••• P••••••• I••••••••• A•••••••• L••Registered adviserregistration: current employment
Feb 3, 2026 to presentfactForm ADV
→ R•••••• J•••• • A••••••••• I•••Registered adviserregistration: previous registration
Mar 16, 2017 to Feb 3, 2026factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Oct 21, 1999 to Feb 27, 2017factForm ADV

Dated events

Occurred
Feb 3, 2026
Advisor changed firm
D•••• L•• left R•••••• J•••• • A••••••••• I••• for S•••••• P••••••• I••••••••• A•••••••• L•• (registered 2026-02-03)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:20eac3b7-3941-de53-432f-4fe55c0c8c44
First observed: Oct 21, 1999
Last observed: Sep 15, 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.