DFX Intelligence

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

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RIA / WealthAdvisor13 years in industry

R•• D••••• R•••••

Advisor at S••••• W••••• A••••••• L••

BOCA RATON, FL

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Dec 2, 2013 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: S••••• W••••• A••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jul 30, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• W••••• A••••••• L••	Independent wealth	Dec 22, 2021	n/a	yes	BOCA RATON, FL	Current employment
S••••• W••••• A••••••• I•••	Former SEC adviser	Sep 13, 2018	Mar 1, 2022	no	BOCA RATON, FL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••• W••••• A••••••• I•••	S••••• W••••• A••••••• L••	Mar 1, 2022	Dec 22, 2021	-69	Channel change	RIA to RIA
F••••••••• F••••••• L••	S••••• W••••• A••••••• I•••	Nov 27, 2018	Sep 13, 2018

Team moves

••• Locked

Team	Left	Joined	From	Kind
170470:317218:FL:2022-03-01	Mar 1, 2022	Dec 22, 2021	BOCA RATON, FL	Firm change after gap

Relationships

Registered with (3)

→ S••••• W••••• A••••••• L••Registered adviserregistration: current employment
Dec 22, 2021 to presentfactForm ADV
→ S••••• W••••• A••••••• I•••Registered adviserregistration: previous registration
Sep 13, 2018 to Mar 1, 2022factForm ADV
→ F••••••••• F••••••• L••Registered adviserregistration: previous registration
Dec 2, 2013 to Nov 27, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Dec 2, 2013
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.