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

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RIA / WealthAdvisorCertified Financial Planner16 years in industry

M•••••• J••••• D••••

Advisor at S••••• W••••• M•••••••••

Wyomissing, PA | ROCKFORD, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:73c936f7-61bd-3356-d571-ee4b3bbf87b3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jan 22, 2010 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••••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 21, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• W••••• M•••••••••	Independent wealth	May 12, 2023	n/a	yes	Wyomissing, PA\|ROCKFORD, IL	Current employment
D••••• W•••••• L••	Former SEC adviser	Feb 19, 2015	Aug 4, 2023	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
D••••• W•••••• L••	S••••• W••••• M•••••••••	Aug 4, 2023	May 12, 2023	-84	Firm change after gap	RIA to RIA
P••••••••• W••••• M••••••••• L••	D••••• W•••••• L••	Feb 23, 2015

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
174303:107271:PA:2023-08-04	Aug 4, 2023	May 12, 2023	WYOMISSING, PA	Firm change after gap
152072:174303:PA:2015-02-23	Feb 23, 2015	Feb 19, 2015	YORK, PA	Firm change

Relationships

Registered with (4)

→ S••••• W••••• M•••••••••Registered adviserregistration: current employment
May 12, 2023 to presentfactForm ADV
→ D••••• W•••••• L••Registered adviserregistration: previous registration
Feb 19, 2015 to Aug 4, 2023factForm ADV
→ P••••••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Mar 30, 2012 to Feb 23, 2015factForm ADV
→ B•• F•••••••• A•••••••Registered adviser

Dated events

Occurred
Aug 4, 2023
Advisor changed firm
M•••••• J••••• D•••• left D••••• W•••••• L•• for S••••• W••••• M••••••••• (registered 2023-05-12)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:73c936f7-61bd-3356-d571-ee4b3bbf87b3
First observed: Jan 22, 2010
Last observed: Sep 14, 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.