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)27 years in industry

S••••• T••• M•••••

Advisor at C••••••••• A••••••• S••••••• I••

BONITA SPRINGS, FL | NAPLES, FL

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Search this name across graphsid dfx:ria:4d17b17e-f202-659f-3335-6b45f47613f1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Feb 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: C••••••••• A••••••• S••••••• I••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Dec 21, 1998earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• W•••••• I•••	Bd affiliated wealth	Nov 3, 2023	n/a	yes	NAPLES, FL	Current employment
C••••••••• A••••••• S••••••• I••	Independent wealth	Sep 10, 2012	n/a	yes	BONITA SPRINGS, FL	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•• S••••••••• C•••••••••	C••••••••• A••••••• S••••••• I••	Nov 3, 2023	Sep 10, 2012	-4,071	Firm change after gap	Other
P••••••• I••••••••• A•••••••• L••	F•• S••••••••• C•••••••••	Apr 23, 2012	Aug 27, 2012

Team moves

••• Locked

Team	Left	Joined	From	Kind
7461:110904:FL:2023-11-03	Nov 3, 2023	Sep 10, 2012	BONITA SPRINGS, FL	Firm change after gap

Relationships

Registered with (7)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
Nov 3, 2023 to presentfactForm ADV
→ C••••••••• A••••••• S••••••• I••Registered adviserregistration: current employment
Sep 10, 2012 to presentfactForm ADV
→ F•• S••••••••• C•••••••••Registered adviserregistration: previous registration
Aug 27, 2012 to Nov 3, 2023factForm ADV
→ P••••••• I••••••••• A•••••••• L••

Dated events

Occurred
Nov 3, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4d17b17e-f202-659f-3335-6b45f47613f1
First observed: Feb 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.