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

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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

S•••••• R•••••• S••••

Advisor at C••••• I••••••••• A••••••• L••

FORT MYERS, FL

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Search this name across graphsid dfx:ria:4d25fc92-7e03-137a-f13c-c04c06cfca7f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Aug 10, 2000 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••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 23, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Apr 24, 2017	n/a	yes	FORT MYERS, FL	Current employment
P•• M•••••• A•••••• S••••••••• I•••	Former SEC adviser	Feb 16, 2016	Mar 16, 2017	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
P•• M•••••• A•••••• S••••••••• I•••	C••••• I••••••••• A••••••• L••	Mar 16, 2017	Apr 24, 2017	39	Firm change	Other
A••••••• F•••••••• A•••••••• L••	P•• M•••••• A•••••• S••••••••• I•••	Jan 26, 2016

Relationships

Registered with (8)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: previous registration
Jan 21, 2014 to Aug 14, 2015factForm ADV
→ P•• M•••••• A•••••• S••••••••• I•••Registered adviserregistration: previous registration
Feb 16, 2016 to Mar 16, 2017factForm ADV
→ A••••••• F•••••••• A•••••••• L••Registered adviserregistration: previous registration
Aug 26, 2015 to Jan 26, 2016factForm ADV
→ C••••• I••••••••• S••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4d25fc92-7e03-137a-f13c-c04c06cfca7f
First observed: Aug 10, 2000
Last observed: Sep 14, 2026 8 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.