DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)23 years in industry

M••• D••••••

Advisor at S•••• W••••• M••••••••• L••

Frederick, MD | MCLEAN, VA

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Search this name across graphsid dfx:ria:4db70724-0bfd-d4cc-1244-70f6e6f74892

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Aug 12, 2003 to Sep 15, 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•••• W••••• M••••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 11, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••• W••••• M••••••••• L••	Bd affiliated wealth	Oct 25, 2018	n/a	yes	MCLEAN, VA\|Frederick, MD	Current employment
T••••• A••••••• S•••••••• I•••	Bd affiliated wealth	Nov 10, 2017	Aug 9, 2018	no	FREDERICK, MD\|Silver Spring, MD

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T••••• A••••••• S•••••••• I•••	S•••• W••••• M••••••••• L••	Aug 9, 2018	Oct 25, 2018	77	Firm change	Ibd to RIA
A••••• A•• P••••••• S•••••••	T••••• A••••••• S•••••••• I•••	Oct 10, 2017	Nov 10, 2017

Relationships

Registered with (6)

→ S•••• W••••• M••••••••• L••Registered adviserregistration: current employment
Oct 25, 2018 to presentfactForm ADV
→ T••••• A••••••• S•••••••• I•••Registered adviserregistration: previous registration
Nov 10, 2017 to Aug 9, 2018factForm ADV
→ A••••• A•• P••••••• S•••••••Registered adviserregistration: previous registration
Apr 15, 2013 to Oct 10, 2017factForm ADV
→ P•• W••••• M•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4db70724-0bfd-d4cc-1244-70f6e6f74892
First observed: Aug 12, 2003
Last observed: Sep 15, 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.