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C•••••• D••• I••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)12 years in industry

C•••••• D••• I••••

Advisor at S•••••••• E••••• P•••••••• L••

COLUMBUS, OH

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Search this name across graphsid dfx:ria:4129c357-5373-793c-6a35-cc3bfc361c60

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:36 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jan 2, 2014 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•••••••• E••••• P•••••••• L••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 17, 2013earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 0derivedfrom 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•••••••• E••••• P•••••••• L••	Independent wealth	Feb 11, 2026	n/a	yes	COLUMBUS, OH	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Jul 21, 2021	Feb 12, 2026	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
L•• F•••••••• L••	S•••••••• E••••• P•••••••• L••	Feb 12, 2026	Feb 11, 2026	-1	Firm change	Ibd to RIA
H••••••••• F•••••••• A•••••••	L•• F•••••••• L••	Jun 9, 2021

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
79:16986:OH:2017-02-16	Feb 16, 2017	Feb 9, 2017	COLUMBUS, OH	Firm change

Relationships

Registered with (5)

→ S•••••••• E••••• P•••••••• L••Registered adviserregistration: current employment
Feb 11, 2026 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Jul 21, 2021 to Feb 12, 2026factForm ADV
→ H••••••••• F•••••••• A•••••••Registered adviserregistration: previous registration
Feb 9, 2017 to Jun 9, 2021factForm ADV
→ J••• M••••• S••••••••• L••

Dated events

Occurred
Feb 12, 2026
Advisor changed firm
C•••••• D••• I•••• left L•• F•••••••• L•• for S•••••••• E••••• P•••••••• L•• (registered 2026-02-11)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4129c357-5373-793c-6a35-cc3bfc361c60
First observed: Jan 2, 2014
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.