DFX Intelligence

C•••• A•••• L••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

C•••• A•••• L••••••

Advisor at S•••••••• E••••• P•••••••• L••

Traverse City, MI

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Search this name across graphsid dfx:ria:6c139b35-6801-0392-2634-0bf645a894a7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Nov 30, 2006 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•••••••• E••••• P•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Nov 29, 2006earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• E••••• P•••••••• L••	Independent wealth	Sep 6, 2023	n/a	yes	Traverse City, MI	Current employment
C•••••••• I••••••••• R••••••• A•••••••• I•••	Bd affiliated wealth	May 15, 2018	Sep 13, 2023	no	Traverse City, MI

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••••• I••••••••• R••••••• A•••••••• I•••	S•••••••• E••••• P•••••••• L••	Sep 13, 2023	Sep 6, 2023	-7	Firm change	Ibd to new firm
C••••• I••••••••• A••••••• L••	C•••••••• I••••••••• R••••••• A•••••••• I•••	Jun 4, 2018	May 15, 2018

Team moves

••• Locked

Team	Left	Joined	From	Kind
134139:327455:MI:2023-09-13	Sep 13, 2023	Sep 6, 2023	TRAVERSE CITY, MI	Firm change
105644:134139:MI:2018-06-04	Jun 4, 2018	May 15, 2018	TRAVERSE CITY, MI	Firm change
6413:105644:MI:2015-02-19	Feb 19, 2015	Feb 24, 2015	TRAVERSE CITY, MI	Firm change

Relationships

Registered with (7)

→ S•••••••• E••••• P•••••••• L••Registered adviserregistration: current employment
Sep 6, 2023 to presentfactForm ADV
→ C•••••••• I••••••••• R••••••• A•••••••• I•••Registered adviserregistration: previous registration
May 15, 2018 to Sep 13, 2023factForm ADV
→ C••••• I••••••••• A••••••• L••Registered adviserregistration: previous registration
Feb 24, 2015 to Jun 4, 2018factForm ADV
→ L•• F•••••••• L••

Dated events

Occurred
Sep 13, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6c139b35-6801-0392-2634-0bf645a894a7
First observed: Nov 30, 2006
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.