DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)11 years in industry

C•••• S••••• E••••••

Advisor at C•••••• S••••• • C••• I•••

Sarasota, FL

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Search this name across graphsid dfx:ria:603dce30-3449-5fab-bb9d-4b127584adf5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Aug 15, 2017 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: C•••••• S••••• • C••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Apr 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• S••••• • C••• I•••	National bd RIA	Aug 5, 2021	n/a	yes	Sarasota, FL	Current employment
F••••••• P••••••• A•• W•••••••• A•••••••	Former SEC adviser	Jul 13, 2018	Jul 9, 2021	no	BOSTON, MA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F••••••• P••••••• A•• W•••••••• A•••••••	C•••••• S••••• • C••• I•••	Jul 9, 2021	Aug 5, 2021	27	Firm change	Ibd to ibd
S•••••••• A••••••• L••	F••••••• P••••••• A•• W•••••••• A•••••••	Jul 13, 2018	Jul 13, 2018

Team moves

••• Locked

Team	Left	Joined	From	Kind
288590:5393:MA:2021-05-09	Jul 9, 2021	Aug 5, 2021	BOSTON, MA	Firm change

Relationships

Registered with (3)

→ C•••••• S••••• • C••• I•••Registered adviserregistration: current employment
Aug 5, 2021 to presentfactForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Jul 13, 2018 to Jul 9, 2021factForm ADV
→ S•••••••• A••••••• L••Registered adviserregistration: previous registration
Aug 15, 2017 to Jul 13, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:603dce30-3449-5fab-bb9d-4b127584adf5
First observed: Aug 15, 2017
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.