DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)39 years in industry

S•••••• L••••• T•••••

Advisor at SPC

ANN ARBOR, MI | DALLAS, TX

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Search this name across graphsid dfx:ria:756a345d-cb9b-4b04-5f46-20cc98c7492b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Oct 28, 2005 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: SPC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 22, 1986earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••	Bd affiliated wealth	Sep 7, 2011	n/a	yes	DALLAS, TX\|ANN ARBOR, MI	Current employment
W•••••• • R•••	Former SEC adviser	Oct 28, 2005	Aug 16, 2011	no	DALLAS, TX\|DALLAS, TX	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••••• • R•••	S••	Aug 16, 2011	Sep 7, 2011	22	Firm change	Other

Relationships

Registered with (2)

→ S••Registered adviserregistration: current employment
Sep 7, 2011 to presentfactForm ADV
→ W•••••• • R•••Registered adviserregistration: previous registration
Oct 28, 2005 to Aug 16, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:756a345d-cb9b-4b04-5f46-20cc98c7492b
First observed: Oct 28, 2005
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.