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

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RIA / WealthAdvisor33 years in industry

S•••• C••••••••• W••••••

Advisor at S•• W••••• M••••••••• L••

CAROLINA BEACH, NC

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Search this name across graphsid dfx:ria:73d21868-4552-7bf1-4d4d-593a61a28f7a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 12, 1998 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••••••••• L••
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 16, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 4derivedfrom 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••••••••• L••	State registered	Mar 7, 2022	n/a	yes	CAROLINA BEACH, NC	Current employment
W•••• F•••• A•••••••	Wirehouse	Apr 15, 2016	Jul 24, 2019	no	CHICAGO, IL\|NORTHBROOK, IL

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
W•••• F•••• A•••••••	S•• W••••• M••••••••• L••	Jul 24, 2019	Mar 7, 2022	957	Firm change after gap	Wirehouse to state RIA
U•• F•••••••• S••••••• I•••	W•••• F•••• A•••••••	Apr 26, 2016

Relationships

Registered with (4)

→ S•• W••••• M••••••••• L••Registered adviserregistration: current employment
Mar 7, 2022 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Apr 15, 2016 to Jul 24, 2019factForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Feb 6, 2009 to Apr 26, 2016factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:73d21868-4552-7bf1-4d4d-593a61a28f7a
First observed: Apr 12, 1998
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.