DFX Intelligence

H•••••• T••••• W•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)38 years in industry

H•••••• T••••• W•••

Advisor at C•••••• S••••••••• M••••••••• I•••

GLEN ALLEN, VA | FREDERICK, MD

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Search this name across graphsid dfx:ria:43a45cfd-1b66-f7c2-5279-bf0720f0bba9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Mar 11, 1999 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: C•••••• S••••••••• M••••••••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Nov 18, 1987earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• S••••••••• M••••••••• I•••	Independent wealth	Oct 19, 2022	n/a	yes	FREDERICK, MD\|GLEN ALLEN, VA	Current employment
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Bd affiliated wealth	Nov 5, 2019	Nov 15, 2019	no	FREDERICK, MD

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••• • C••• I•••	R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Oct 28, 2022	Nov 5, 2019	-1,088	Firm change after gap	Ibd to ibd
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	C•••••• S••••••••• M••••••••• I•••	Nov 15, 2019

Relationships

Registered with (4)

→ C•••••• S••••••••• M••••••••• I•••Registered adviserregistration: current employment
Oct 19, 2022 to presentfactForm ADV
→ C••••••• • C••• I•••Registered adviserregistration: previous registration
Jan 3, 2006 to Oct 28, 2022factForm ADV
→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserregistration: previous registration
Nov 5, 2019 to Nov 15, 2019factForm ADV
→ R•••••• J•••• F•••••••• S•••••••• I•••

Dated events

Occurred
Oct 28, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:43a45cfd-1b66-f7c2-5279-bf0720f0bba9
First observed: Mar 11, 1999
Last observed: Sep 14, 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.