DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)36 years in industry

S••••• M••• R•••

Advisor at C••••• I••••••••• A••••••• L••

Annapolis, MD

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Search this name across graphsid dfx:ria:6420be11-f530-5e36-a72a-e12668fd7927

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Jan 8, 2008 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••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Nov 15, 1989earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Aug 18, 2026	n/a	yes	Annapolis, MD	Current employment
C••••••••• F•••••••• N••••••	National bd RIA	Mar 15, 2017	Aug 20, 2026	no	Annapolis, MD\|Annapolis, MD

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••••• F•••••••• N••••••	C••••• I••••••••• A••••••• L••	Aug 20, 2026	Aug 18, 2026	-2	Firm change	Ibd to ibd
S••••• F•••••••• A•••••••• L••	C••••••••• F•••••••• N••••••	Feb 15, 2024	Mar 15, 2017

Team moves

••• Locked

Team	Left	Joined	From	Kind
8032:105644:MD:2026-08-20	Aug 20, 2026	Aug 18, 2026	ANNAPOLIS, MD	Firm change
134139:121625:MD:2017-03-17	Mar 17, 2017	Mar 19, 2014	ANNNAPOLIS, MD	Firm change after gap

Relationships

Registered with (5)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Aug 18, 2026 to presentfactForm ADV
→ C••••••••• F•••••••• N••••••Registered adviserregistration: previous registration
Mar 15, 2017 to Aug 20, 2026factForm ADV
→ S••••• F•••••••• A•••••••• L••Registered adviserregistration: previous registration
Mar 19, 2014 to Feb 15, 2024factForm ADV
→ C•••••••• I••••••••• R••••••• A•••••••• I•••

Dated events

Occurred
Aug 20, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 15, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6420be11-f530-5e36-a72a-e12668fd7927
First observed: Jan 8, 2008
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.