DFX Intelligence

F•••••• H••••• J••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)39 years in industry

F•••••• H••••• J••••

Advisor at G••••• S•••• W••••• M••••••••• L••

ESCANABA, MI | POWELL, WY

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Search this name across graphsid dfx:ria:292fa928-33c9-4cd2-8b55-91c937ece553

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 8, 1997 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: G••••• S•••• W••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jul 22, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
G••••• S•••• W••••• M••••••••• L••	Independent wealth	Mar 31, 2016	n/a	yes	POWELL, WY\|ESCANABA, MI	Current employment
W•••• F•••• A•••••••	Wirehouse	Dec 9, 2009	Apr 1, 2016	no	LOS ANGELES, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	G••••• S•••• W••••• M••••••••• L••	Apr 1, 2016	Mar 31, 2016	-1	Firm change	Other
M••••• S••••••	W•••• F•••• A•••••••	Dec 19, 2009	Dec 9, 2009

Relationships

Registered with (4)

→ G••••• S•••• W••••• M••••••••• L••Registered adviserregistration: current employment
Mar 31, 2016 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Dec 9, 2009 to Apr 1, 2016factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to Dec 19, 2009factForm ADV
→ C•••••••• G••••• M•••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:292fa928-33c9-4cd2-8b55-91c937ece553
First observed: Jul 8, 1997
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.