DFX Intelligence

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

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RIA / WealthAdvisor13 years in industry

P••••• I••••• R•••

Advisor at S••••• W••••• M•••••••••

ROCKFORD, IL | Oklahoma City, OK

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jun 24, 2013 to Sep 15, 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••••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jun 22, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• W••••• M•••••••••	Independent wealth	Apr 3, 2026	n/a	yes	Oklahoma City, OK\|ROCKFORD, IL	Current employment
E••••••• W••••• A•••••••	Former SEC adviser	Jun 24, 2013	Apr 30, 2026	no	OKLAHOMA CITY, OK\|PLANO, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E••••••• W••••• A•••••••	S••••• W••••• M•••••••••	Apr 30, 2026	Apr 3, 2026	-27	Bulk transfer	RIA to RIA

Relationships

Registered with (2)

→ S••••• W••••• M•••••••••Registered adviserregistration: current employment
Apr 3, 2026 to presentfactForm ADV
→ E••••••• W••••• A•••••••Registered adviserregistration: previous registration
Jun 24, 2013 to Apr 30, 2026factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 24, 2013
Last observed: Sep 15, 2026 8 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.