DFX Intelligence

C••• A•••• G••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Consultant35 years in industry

C••• A•••• G••••••

Advisor at S••••••• A••••••• G••••• L••

MIDDLETON, WI

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Search this name across graphsid dfx:ria:3670c2c9-9f67-ba9c-0e43-f0785b0e64a5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Feb 6, 2009 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••••••• A••••••• G••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Nov 5, 1990earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••••• A••••••• G••••• L••	Independent wealth	Dec 22, 2025	n/a	yes	MIDDLETON, WI	Current employment
C••••••••• F•••••••• N••••••	National bd RIA	Jul 9, 2024	Dec 31, 2025	no	Verona, WI\|Middleton, WI\|WALTHAM, MA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••••• F•••••••• N••••••	S••••••• A••••••• G••••• L••	Dec 31, 2025	Dec 22, 2025	-9	Firm change	Ibd to new firm
N••••••••• M••••• I••••••••• S•••••••••	C••••••••• F•••••••• N••••••	Sep 14, 2016	Jul 9, 2024

Team moves

••• Locked

Team	Left	Joined	From	Kind
8032:338121:MA:2025-12-31	Dec 31, 2025	Dec 22, 2025	WALTHAM, MA	Firm change

Relationships

Registered with (3)

→ S••••••• A••••••• G••••• L••Registered adviserregistration: current employment
Dec 22, 2025 to presentfactForm ADV
→ C••••••••• F•••••••• N••••••Registered adviserregistration: previous registration
Jul 9, 2024 to Dec 31, 2025factForm ADV
→ N••••••••• M••••• I••••••••• S•••••••••Registered adviserregistration: previous registration
Feb 6, 2009 to Sep 14, 2016factForm ADV

Dated events

Occurred
Dec 31, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3670c2c9-9f67-ba9c-0e43-f0785b0e64a5
First observed: Feb 6, 2009
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.