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E••• W•••••• A••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)38 years in industry

E••• W•••••• A••••

Advisor at S•••••• N••••••• • C••••••• I•••••••••

ST. PETERSBURG, FL | SPOKANE, WA

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Search this name across graphsid dfx:ria:2eb606e1-d370-b84a-0336-15fd041764b9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:44 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Nov 13, 1999 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•••••• N••••••• • C••••••• I•••••••••
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 4, 1988earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 7derivedfrom 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•••••• N••••••• • C••••••• I•••••••••	National bd RIA	May 2, 2019	n/a	yes	SPOKANE, WA\|ST. PETERSBURG, FL	Current employment
W•••• F•••• A•••••••	Wirehouse	Mar 18, 2010	May 7, 2019	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
W•••• F•••• A•••••••	S•••••• N••••••• • C••••••• I•••••••••	May 7, 2019	May 2, 2019	-5	Firm change	Wirehouse to ibd
D••• D••••••• • C••	D••••••• I••••••••• A•••••••• I•••	Mar 22, 2010

Relationships

Registered with (4)

→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: current employment
May 2, 2019 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Mar 18, 2010 to May 7, 2019factForm ADV
→ D••• D••••••• • C••Registered adviserregistration: previous registration
Nov 13, 1999 to Mar 22, 2010factForm ADV
→ D••••••• I••••••••• A•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2eb606e1-d370-b84a-0336-15fd041764b9
First observed: Nov 13, 1999
Last observed: Sep 14, 2026 8 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.