DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

S•••••• P•••••• S••••••

Advisor at S••••• C•••••• M••••••••• L••

Marlton, NJ | SAINT LOUIS, MO

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Search this name across graphsid dfx:ria:73fa02a0-ac43-8959-f90d-91a027c268ab

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Apr 11, 2012 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••••• C•••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Aug 1, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• C•••••• M••••••••• L••	Independent wealth	Oct 25, 2022	n/a	yes	Marlton, NJ\|SAINT LOUIS, MO	Current employment
F•••••• F•••••••• A•••••••• L••	Bd affiliated wealth	Apr 17, 2020	Oct 26, 2022	no	TAMPA, FL\|Philadelphia, PA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••••• F•••••••• A•••••••• L••	S••••• C•••••• M••••••••• L••	Oct 26, 2022	Oct 25, 2022	-1	Firm change	Ibd to RIA
S•••••• P•••••••• L••	F•••••• F•••••••• A•••••••• L••	Apr 2, 2020	Apr 17, 2020

Relationships

Registered with (6)

→ S••••• C•••••• M••••••••• L••Registered adviserregistration: current employment
Oct 25, 2022 to presentfactForm ADV
→ F•••••• F•••••••• A•••••••• L••Registered adviserregistration: previous registration
Apr 17, 2020 to Oct 26, 2022factForm ADV
→ S•••••• P•••••••• L••Registered adviserregistration: previous registration
Dec 13, 2018 to Apr 2, 2020factForm ADV
→ M••••• O• O•••• I••••••• S•••••••• I•••

Dated events

Occurred
Oct 26, 2022
Advisor changed firm
S•••••• P•••••• S•••••• left F•••••• F•••••••• A•••••••• L•• for S••••• C•••••• M••••••••• L•• (registered 2022-10-25)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:73fa02a0-ac43-8959-f90d-91a027c268ab
First observed: Apr 11, 2012
Last observed: Sep 15, 2026 7 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.