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

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RIA / WealthAdvisor43 years in industry

E•••• T••••••• S••••

Advisor at S•••• W••••• A•••••••• L••

GREENLAND, NH

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Search this name across graphsid dfx:ria:513a667c-7d9a-8838-8f17-51bf8b0b85dd

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: May 26, 1993 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•••• W••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 26, 1983earliest registration or exam on IAPD
Years in industry: 43derivedfrom 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
S•••• W••••• A•••••••• L••	Independent wealth	Jan 26, 2017	n/a	yes	GREENLAND, NH	Current employment
C••••• • M•••••••• I•••	Former SEC adviser	Nov 12, 2003	Jan 24, 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
C••••• • M•••••••• I•••	S•••• W••••• A•••••••• L••	Jan 24, 2017	Jan 26, 2017	2	Firm change	Other
L••• M•••• W••• W•••••• I•••••••••	C••••• • M•••••••• I•••	Nov 12, 2003

Relationships

Registered with (3)

→ S•••• W••••• A•••••••• L••Registered adviserregistration: current employment
Jan 26, 2017 to presentfactForm ADV
→ C••••• • M•••••••• I•••Registered adviserregistration: previous registration
Nov 12, 2003 to Jan 24, 2017factForm ADV
→ L••• M•••• W••• W•••••• I•••••••••Registered adviserregistration: previous registration
May 26, 1993 to Nov 12, 2003factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:513a667c-7d9a-8838-8f17-51bf8b0b85dd
First observed: May 26, 1993
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.