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

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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

T•••• A••••

Advisor at S•••••• P••••••• I••••••••• A•••••••• L••

STAMFORD, CT | Chardon, OH

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Search this name across graphsid dfx:ria:50699151-9cc8-69c6-0e2c-e980ff925930

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Jul 16, 2012 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•••••• P••••••• 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: Jan 6, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 0derivedfrom 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
S•••••• P••••••• I••••••••• A•••••••• L••	Bd affiliated wealth	Jun 30, 2026	n/a	yes	Chardon, OH\|STAMFORD, CT	Current employment
U•• F•••••••• S••••••• I•••	Wirehouse	Dec 18, 2023	Jul 15, 2026	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
U•• F•••••••• S••••••• I•••	S•••••• P••••••• I••••••••• A•••••••• L••	Jul 15, 2026	Jun 30, 2026	-15	Firm change	Wirehouse to ibd
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	U•• F•••••••• S••••••• I•••	Dec 18, 2023

Relationships

Registered with (7)

→ S•••••• P••••••• I••••••••• A•••••••• L••Registered adviserregistration: current employment
Jun 30, 2026 to presentfactForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Dec 18, 2023 to Jul 15, 2026factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
May 2, 2019 to Dec 18, 2023factForm ADV
→ C••••••• A•••• M••••••••• L••

Dated events

Occurred
Jul 15, 2026
Advisor changed firm
T•••• A•••• left U•• F•••••••• S••••••• I••• for S•••••• P••••••• I••••••••• A•••••••• L•• (registered 2026-06-30)
Form ADVobserved 7 days ago
Occurred
Dec 18, 2023
Advisor changed firm
T•••• A•••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for U•• F•••••••• S••••••• I••• (registered 2023-12-18)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:50699151-9cc8-69c6-0e2c-e980ff925930
First observed: Jul 16, 2012
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.