DFX Intelligence

S•••••• T••••• M•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)36 years in industry

S•••••• T••••• M•••••

Advisor at C•••••••• I••••••••• R••••••• A•••••••• I•••

MALVERN, PA

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Search this name across graphsid dfx:ria:4b1d4ec1-a66c-af70-d5e0-3f3adf6034f7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Sep 27, 2001 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•••••••• I••••••••• R••••••• A•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Nov 6, 1989earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 18derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••• I••••••••• R••••••• A•••••••• I•••	Bd affiliated wealth	Jul 2, 2008	n/a	yes	MALVERN, PA	Current employment
P•••••••• S••••••••• I•••	Bd affiliated wealth	Oct 17, 2002	Jul 3, 2008	no	MALVERN, PA\|MALVERN, PA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P•••••••• S••••••••• I•••	C•••••••• I••••••••• R••••••• A•••••••• I•••	Jul 3, 2008	Jul 2, 2008	-1	Firm change	Other
1••• C•••••• M••••••••• C••••••	P•••••••• S••••••••• I•••	Oct 24, 2002	Oct 17, 2002

Relationships

Registered with (3)

→ C•••••••• I••••••••• R••••••• A•••••••• I•••Registered adviserregistration: current employment
Jul 2, 2008 to presentfactForm ADV
→ P•••••••• S••••••••• I•••Registered adviserregistration: previous registration
Oct 17, 2002 to Jul 3, 2008factForm ADV
→ 1••• C•••••• M••••••••• C••••••Registered adviserregistration: previous registration
Sep 27, 2001 to Oct 24, 2002factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4b1d4ec1-a66c-af70-d5e0-3f3adf6034f7
First observed: Sep 27, 2001
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.