DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

T••••• S••••• L•••

Advisor at R••••• I••••••••• A•••••••• I••

WILMINGTON, DE | BRISTOL, VA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:62c9e065-8133-7299-c2c2-213233f137f4

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Sep 27, 2005 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: R••••• I••••••••• A•••••••• I••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 1, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R••••• I••••••••• A•••••••• I••	Bd affiliated wealth	Oct 3, 2023	n/a	yes	WILMINGTON, DE\|BRISTOL, VA	Current employment
A•••• W••••• A•••••••• L••	Bd affiliated wealth	Jul 13, 2023	Sep 21, 2023	no	Bristol, VA\|CHICAGO, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A•••• W••••• A•••••••• L••	R••••• I••••••••• A•••••••• I••	Sep 21, 2023	Oct 3, 2023	12	Firm change	Ibd to ibd
C••••• S••••• A•••••••• I•••	A•••• W••••• A•••••••• L••	Jul 13, 2023	Jul 13, 2023

Relationships

Registered with (5)

→ R••••• I••••••••• A•••••••• I••Registered adviserregistration: current employment
Oct 3, 2023 to presentfactForm ADV
→ A•••• W••••• A•••••••• L••Registered adviserregistration: previous registration
Jul 13, 2023 to Sep 21, 2023factForm ADV
→ C••••• S••••• A•••••••• I•••Registered adviserregistration: previous registration
May 6, 2014 to Jul 13, 2023factForm ADV
→ T•••••• • A••••••••• I•••

Dated events

Occurred
Sep 21, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jul 13, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:62c9e065-8133-7299-c2c2-213233f137f4
First observed: Sep 27, 2005
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.