DFX Intelligence

W••••• L•• S•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultant39 years in industry

W••••• L•• S•••••••

Advisor at S••••••••• A•••••••• L••

MOUNT JOY, PA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Sep 19, 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: S••••••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Sep 24, 1986earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••••••• A•••••••• L••	Independent wealth	Nov 6, 2015	n/a	yes	MOUNT JOY, PA	Current employment
C•••••••• I••••••••• R••••••• A•••••••• I•••	Bd affiliated wealth	Dec 16, 2011	Aug 9, 2016	no	MOUNT JOY, PA\|MOUNT JOY, PA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••••• I••••••••• R••••••• A•••••••• I•••	S••••••••• A•••••••• L••	Aug 9, 2016	Nov 6, 2015	-277	Firm change after gap	Other
C•••••••• F•••••••• G•••• A•••••••	C•••••••• I••••••••• R••••••• A•••••••• I•••	Dec 14, 2011

Team moves

••• Locked

Team	Left	Joined	From	Kind
134139:277099:PA:2016-08-09	Aug 9, 2016	Nov 6, 2015	MOUNT JOY, PA	Firm change after gap

Relationships

Registered with (3)

→ S••••••••• A•••••••• L••Registered adviserregistration: current employment
Nov 6, 2015 to presentfactForm ADV
→ C•••••••• I••••••••• R••••••• A•••••••• I•••Registered adviserregistration: previous registration
Dec 16, 2011 to Aug 9, 2016factForm ADV
→ C•••••••• F•••••••• G•••• A•••••••Registered adviserregistration: previous registration
Sep 19, 2006 to Dec 14, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Sep 19, 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.