DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner26 years in industry

M•••••• G••••• D•••••

Advisor at S••••• M•••••••••

NORTH LITTLE ROCK, AR | Littleton, CO

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 3:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jan 27, 2003 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••••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Feb 2, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• M•••••••••	Independent wealth	Aug 5, 2019	n/a	yes	NORTH LITTLE ROCK, AR\|Littleton, CO	Current employment
D•••••• E••••••• S••••••••• L•••	n/a	Oct 8, 2014	Dec 14, 2017	no	VANDALIA, OH

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••• F•••••••• I••••••••• M••••••••• L••	D•••••• E••••••• S••••••••• L•••	Feb 18, 2020	Oct 8, 2014	-1,959	Firm change after gap	Other
D•••••• E••••••• S••••••••• L•••	S••••• M•••••••••	Dec 14, 2017	Aug 5, 2019

Relationships

Registered with (6)

→ S••••• M•••••••••Registered adviserregistration: current employment
Aug 5, 2019 to presentfactForm ADV
→ S•••• F•••••••• I••••••••• M••••••••• L••Registered adviserregistration: previous registration
Jul 3, 2012 to Feb 18, 2020factForm ADV
→ D•••••• E••••••• S••••••••• L•••Registered adviserregistration: previous registration
Oct 8, 2014 to Dec 14, 2017factForm ADV
→ I••••••••• A••••••• G•••• C•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 27, 2003
Last observed: Sep 15, 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.