DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner24 years in industry

D•••••• R•••••• S••••••

Advisor at S•••••• W••••• P••••••• L••

POWELL, OH

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Search this name across graphsid dfx:ria:40c65090-7c31-6a92-04be-dbe9b8841249

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Sep 6, 2011 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••••• P••••••• L••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Sep 10, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• W••••• P••••••• L••	State registered	Apr 17, 2025	n/a	yes	POWELL, OH	Current employment
U••• F•••••••• P••••••• S•••••••	Former SEC adviser	Sep 6, 2011	Apr 30, 2013	no	TAMPA, FL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U••• F•••••••• P••••••• S•••••••	S•••••• W••••• P••••••• L••	Apr 30, 2013	Apr 17, 2025	4,370	Firm change after gap	Other

Relationships

Registered with (2)

→ S•••••• W••••• P••••••• L••Registered adviserregistration: current employment
Apr 17, 2025 to presentfactForm ADV
→ U••• F•••••••• P••••••• S•••••••Registered adviserregistration: previous registration
Sep 6, 2011 to Apr 30, 2013factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:40c65090-7c31-6a92-04be-dbe9b8841249
First observed: Sep 6, 2011
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.