DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner29 years in industry

L•••• D•••• A•••••••

Advisor at S•••• H•••• I••••••••• M••••••••• L••

TUNKHANNOCK, PA

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Search this name across graphsid dfx:ria:470d840b-dfd0-da8a-4626-754db2a9ea7b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:36 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Mar 21, 2003 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•••• H•••• I••••••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Aug 5, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••• H•••• I••••••••• M••••••••• L••	Independent wealth	Sep 20, 2023	n/a	yes	TUNKHANNOCK, PA	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Mar 1, 2023	Oct 2, 2023	no	SAYRE, PA\|LAPORTE, PA\|SAYRE, PA\|DUSHORE, PA\|SAN DIEGO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	S•••• H•••• I••••••••• M••••••••• L••	Oct 2, 2023	Sep 20, 2023	-12	Firm change	Ibd to RIA
C••••• I••••••••• A••••••• L••	L•• F•••••••• L••	Mar 1, 2023	Mar 1, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
105644:6413:PA:2023-03-01	Mar 1, 2023	Mar 1, 2023	SAYRE, PA	Firm change

Relationships

Registered with (5)

→ S•••• H•••• I••••••••• M••••••••• L••Registered adviserregistration: current employment
Sep 20, 2023 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Mar 1, 2023 to Oct 2, 2023factForm ADV
→ C••••• I••••••••• A••••••• L••Registered adviserregistration: previous registration
Jan 21, 2014 to Mar 1, 2023factForm ADV
→ C••••• I••••••••• S••••••• L••

Dated events

Occurred
Oct 2, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 1, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:470d840b-dfd0-da8a-4626-754db2a9ea7b
First observed: Mar 21, 2003
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.