DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)20 years in industry

M•••••• S•••• R•••••

Advisor at I••••••••• W••••• C••••••• L••

SANTA ROSA BEACH, FL

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Aug 3, 2006 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: I••••••••• W••••• C••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Aug 1, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
I••••••••• W••••• C••••••• L••	Independent wealth	Mar 1, 2017	n/a	yes	SANTA ROSA BEACH, FL	Current employment
O•••• F•• I•••	Former SEC adviser	May 17, 2013	Mar 2, 2017	no	BOCA RATON, FL\|GLASTONBURY, CT\|Deerfield Beach, FL\|BOCA RATON, FL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O•••• F•• I•••	I••••••••• W••••• C••••••• L••	Mar 2, 2017	Mar 1, 2017	-1	Firm change	Other
A••••••• A••••••• S•••••••	O•••• F•• I•••	Jun 6, 2013	May 17, 2013

Relationships

Registered with (4)

→ I••••••••• W••••• C••••••• L••Registered adviserregistration: current employment
Mar 1, 2017 to presentfactForm ADV
→ O•••• F•• I•••Registered adviserregistration: previous registration
May 17, 2013 to Mar 2, 2017factForm ADV
→ A••••••• A••••••• S•••••••Registered adviserregistration: previous registration
Jan 28, 2009 to Jun 6, 2013factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Aug 3, 2006
Last observed: Sep 14, 2026 9 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.