DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner25 years in industry

D•••• W•••• S•••••••

Advisor at S••••••• W••••• • R••••••••• L••

TUCSON, AZ

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Search this name across graphsid dfx:ria:6eea67c7-15d5-c415-da2b-68fa98feb193

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jul 12, 2007 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••••• • R••••••••• L••
Current firm class: former SEC adviserderived
Book size: not public••• Locked
Industry start: Sep 1, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••••• W••••• • R••••••••• L••	Former SEC adviser	Nov 5, 2019	n/a	yes	TUCSON, AZ	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Apr 30, 2009	Sep 26, 2019	no	TUCSON, AZ\|TUCSON, AZ	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••• W••••• • R•••••••••	L•• F•••••••• L••	Mar 26, 2020	Apr 30, 2009	-3,983	Firm change after gap	Other
L•• F•••••••• L••	S••••••• W••••• • R••••••••• L••	Sep 26, 2019	Nov 5, 2019

Team moves

••• Locked

Team	Left	Joined	From	Kind
116151:6413:AZ:2020-03-26	Mar 26, 2020	Apr 30, 2009	TUCSON, AZ	Firm change after gap
6413:305645:AZ:2019-09-26	Sep 26, 2019	Nov 5, 2019	TUCSON, AZ	Firm change

Relationships

Registered with (3)

→ S••••••• W••••• • R••••••••• L••Registered adviserregistration: current employment
Nov 5, 2019 to presentfactForm ADV
→ S••••••• W••••• • R•••••••••Registered adviserregistration: previous registration
Jul 12, 2007 to Mar 26, 2020factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Apr 30, 2009 to Sep 26, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6eea67c7-15d5-c415-da2b-68fa98feb193
First observed: Jul 12, 2007
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.