DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

D•••• D• L•• S•••••

Advisor at SPC

ANN ARBOR, MI | Lafayette, IN

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 3:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Mar 3, 2015 to Sep 15, 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: SPC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Feb 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••	Bd affiliated wealth	Sep 24, 2025	n/a	yes	ANN ARBOR, MI\|Lafayette, IN	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Nov 18, 2021	Sep 26, 2025	no	EL MONTE, CA\|El Monte, CA\|SAN D••••, CA\|LAFAYETTE, IN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	S••	Sep 26, 2025	Sep 24, 2025	-2	Firm change	Ibd to ibd
T••••••••• F•••••••• A•••••••• L••	L•• F•••••••• L••	Nov 30, 2021	Nov 18, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
29604:281597:CA:2017-11-29	Nov 29, 2017	Jan 22, 2016	WEST COVINA, CA	Firm change after gap

Relationships

Registered with (5)

→ S••Registered adviserregistration: current employment
Sep 24, 2025 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Nov 18, 2021 to Sep 26, 2025factForm ADV
→ T••••••••• F•••••••• A•••••••• L••Registered adviserregistration: previous registration
Mar 23, 2020 to Nov 30, 2021factForm ADV
→ T•••••• C••••••• I•••

Dated events

Order

Occurred
26 Sep 2025
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 3, 2015
Last observed: Sep 15, 2026 9 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.