DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)24 years in industry

P•••• F•••••• A•••••

Advisor at S•••••• P••••••• I••••••••• A•••••••• L••

STAMFORD, CT | Stuart , FL

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:788e314b-a0a8-cfaa-c996-6388da6beb96

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:25 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: May 1, 2003 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•••••• P••••••• I••••••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 1, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• P••••••• I••••••••• A•••••••• L••	Bd affiliated wealth	Feb 3, 2026	n/a	yes	STAMFORD, CT\|Stuart , FL	Current employment
R•••••• J•••• • A••••••••• I•••	National bd RIA	Apr 2, 2012	Feb 3, 2026	no	STUART, FL\|Stuart, FL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R•••••• J•••• • A••••••••• I•••	S•••••• P••••••• I••••••••• A•••••••• L••	Feb 3, 2026	Feb 3, 2026	0	Firm change	Ibd to ibd
M••••• S••••••	R•••••• J•••• • A••••••••• I•••	Apr 10, 2012	Apr 2, 2012

Team moves

••• Locked

Team	Left	Joined	From	Kind
705:283004:FL:2026-02-03	Feb 3, 2026	Feb 3, 2026	STUART, FL	Firm change

Relationships

Registered with (4)

→ S•••••• P••••••• I••••••••• A•••••••• L••Registered adviserregistration: current employment
Feb 3, 2026 to presentfactForm ADV
→ R•••••• J•••• • A••••••••• I•••Registered adviserregistration: previous registration
Apr 2, 2012 to Feb 3, 2026factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to Apr 10, 2012factForm ADV
→ C•••••••• G••••• M•••••• I•••

Dated events

Occurred
Feb 3, 2026
Advisor changed firm
P•••• F•••••• A••••• left R•••••• J•••• • A••••••••• I••• for S•••••• P••••••• I••••••••• A•••••••• L•• (registered 2026-02-03)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:788e314b-a0a8-cfaa-c996-6388da6beb96
First observed: May 1, 2003
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.