DFX Intelligence

T••••• C••• O••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

T••••• C••• O••••••

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

Mount Laurel, NJ | STAMFORD, CT

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Search this name across graphsid dfx:ria:825ea19f-8da5-bc79-1130-430ead2542a7

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Oct 18, 2016 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: Jun 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• P••••••• I••••••••• A•••••••• L••	Bd affiliated wealth	Sep 10, 2026	n/a	yes	STAMFORD, CT\|Mount Laurel, NJ	Current employment
R•••••• J•••• • A••••••••• I•••	National bd RIA	Aug 15, 2018	Sep 9, 2026	no	Mount Laurel, NJ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R•••••• J•••• • A••••••••• I•••	S•••••• P••••••• I••••••••• A•••••••• L••	Sep 9, 2026	Sep 10, 2026	1	Firm change	Ibd to ibd
M••••• S••••••	R•••••• J•••• • A••••••••• I•••	Aug 13, 2018	Aug 15, 2018

Team moves

••• Locked

Team	Left	Joined	From	Kind
705:283004:NJ:2026-09-09	Sep 9, 2026	Sep 10, 2026	MOUNT LAUREL, NJ	Firm change
149777:705:NJ:2018-08-13	Aug 13, 2018	Aug 15, 2018	MOUNT LAUREL, NJ	Firm change

Relationships

Registered with (3)

→ S•••••• P••••••• I••••••••• A•••••••• L••Registered adviserregistration: current employment
Sep 10, 2026 to presentfactForm ADV
→ R•••••• J•••• • A••••••••• I•••Registered adviserregistration: previous registration
Aug 15, 2018 to Sep 9, 2026factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Oct 18, 2016 to Aug 13, 2018factForm ADV

Dated events

Occurred
Sep 9, 2026
Advisor changed firm
T••••• C••• O•••••• left R•••••• J•••• • A••••••••• I••• for S•••••• P••••••• I••••••••• A•••••••• L•• (registered 2026-09-10)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:825ea19f-8da5-bc79-1130-430ead2542a7
First observed: Oct 18, 2016
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.