DFX Intelligence

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

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RIA / WealthAdvisor22 years in industry

S•••••• A••••• H••••

Advisor at S••••• W••••• M•••••••••

Louisville, KY | ROCKFORD, IL

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: May 4, 2004 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••••• W••••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Apr 2, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• W••••• M•••••••••	Independent wealth	Oct 1, 2024	n/a	yes	Louisville, KY\|ROCKFORD, IL	Current employment
S•••••• A••••••• P•••••••• L••	Former SEC adviser	Sep 22, 2014	Oct 2, 2024	no	LOUISVILLE, KY\|LOUISVILLE, KY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••• A••••••• P•••••••• L••	S••••• W••••• M•••••••••	Oct 2, 2024	Oct 1, 2024	-1	Firm change	RIA to RIA
M••••• S••••••	S•••••• A••••••• P•••••••• L••	Sep 30, 2014	Sep 22, 2014

Team moves

••• Locked

Team	Left	Joined	From	Kind
170922:107271:KY:2024-10-02	Oct 2, 2024	Oct 1, 2024	LOUISVILLE, KY	Firm change

Relationships

Registered with (5)

→ S••••• W••••• M•••••••••Registered adviserregistration: current employment
Oct 1, 2024 to presentfactForm ADV
→ S•••••• A••••••• P•••••••• L••Registered adviserregistration: previous registration
Sep 22, 2014 to Oct 2, 2024factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to Sep 30, 2014factForm ADV
→ M••••• S•••••• • C•• L••Registered adviser

Dated events

Order

Occurred
2 Oct 2024
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: May 4, 2004
Last observed: Sep 15, 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.