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E••••• P•••• G•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)26 years in industry

E••••• P•••• G•••••

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

Midlothian, VA | STAMFORD, CT

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Search this name across graphsid dfx:ria:56e9b275-b5c5-048d-10ad-3eeb89173f98

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Apr 3, 2000 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•••••• 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: Mar 29, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 5derivedfrom 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	Feb 5, 2021	n/a	yes	Midlothian, VA\|STAMFORD, CT	Current employment
W•••• F•••• A•••••••	Wirehouse	Aug 12, 2004	Feb 12, 2021	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
W•••• F•••• A•••••••	S•••••• P••••••• I••••••••• A•••••••• L••	Feb 12, 2021	Feb 5, 2021	-7	Firm change	Wirehouse to RIA
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	W•••• F•••• A•••••••	Aug 11, 2004

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
19616:283004:VA:2021-02-12	Feb 12, 2021	Feb 5, 2021	CHESTER, VA	Firm change

Relationships

Registered with (3)

→ S•••••• P••••••• I••••••••• A•••••••• L••Registered adviserregistration: current employment
Feb 5, 2021 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Aug 12, 2004 to Feb 12, 2021factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Apr 3, 2000 to Aug 11, 2004factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:56e9b275-b5c5-048d-10ad-3eeb89173f98
First observed: Apr 3, 2000
Last observed: Sep 15, 2026 7 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.