DFX Intelligence

S•••• R••••• A••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

S•••• R••••• A••••

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

TULSA, OK

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Search this name across graphsid dfx:ria:3500ac91-25ee-2fc1-6580-e5da5472c291

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:41 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Aug 29, 2016 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••••••••• W••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Apr 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••••••• W••••• M••••••••• L••	Independent wealth	Nov 10, 2023	n/a	yes	TULSA, OK	Current employment
S••••••••• W••••• M••••••••• L••	Independent wealth	Jul 2, 2019	Dec 31, 2022	no	TULSA, OK	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•• F•••••••• S••••••• I•••	S••••••••• W••••• M••••••••• L••	Jun 7, 2019	Jul 2, 2019	25	Firm change	Wirehouse to RIA

Relationships

Registered with (2)

→ S••••••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Jul 2, 2019 to Dec 31, 2022factForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Aug 29, 2016 to Jun 7, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3500ac91-25ee-2fc1-6580-e5da5472c291
First observed: Aug 29, 2016
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.