DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)39 years in industry

M•••••• G•••• S••••••

Advisor at I••••• A••••••• S•••••••• L••

WINTER HAVEN, FL

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Search this name across graphsid dfx:ria:6822a8a5-c548-8582-f473-3a7aca2303e2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Dec 12, 2001 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: I••••• A••••••• S•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jul 17, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
I••••• A••••••• S•••••••• L••	Independent wealth	Nov 4, 2008	n/a	yes	WINTER HAVEN, FL	Current employment
I•••••••• C•••••• A•••••••	Former SEC adviser	Oct 20, 2008	Dec 31, 2010	no	LAKELAND, FL\|WINTER HAVEN, FL\|LYNNFIELD, MA\|ORLANDO, FL\|LYNNFIELD, MA\|WINTER GARDEN, FL\|LYNNFIELD, MA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I•••••••• C•••••• A•••••••	I••••• A••••••• S•••••••• L••	Dec 31, 2010	Nov 4, 2008	-787	Firm change after gap	Other
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	I•••••••• C•••••• A•••••••	Sep 16, 2008	Oct 20, 2008

Relationships

Registered with (4)

→ I••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Nov 4, 2008 to presentfactForm ADV
→ I•••••••• C•••••• A•••••••Registered adviserregistration: previous registration
Oct 20, 2008 to Dec 31, 2010factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
May 31, 2005 to Sep 16, 2008factForm ADV
→ L•• F•••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6822a8a5-c548-8582-f473-3a7aca2303e2
First observed: Dec 12, 2001
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.