DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner20 years in industry

P•••••• C••• T•••••••

Advisor at S•••••• W•••••

CHAPPAQUA, NY | COPPELL, TX

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Search this name across graphsid dfx:ria:8746c9ed-f6ed-98ee-0ae4-ddef0026032c

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Jun 29, 2006 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•••••• W•••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Apr 15, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• W•••••	Independent wealth	Jul 14, 2020	n/a	yes	COPPELL, TX\|CHAPPAQUA, NY	Current employment
N•••••••• A•••• M•••••••••	Independent wealth	Jan 4, 2018	Jul 7, 2020	no	COPPELL, TX\|MERCER ISLAND, WA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N•••••••• A•••• M•••••••••	S•••••• W•••••	Jul 7, 2020	Jul 14, 2020	7	Firm change	RIA to RIA
S••	N•••••••• A•••• M•••••••••	Dec 31, 2017	Jan 4, 2018

Relationships

Registered with (6)

→ S•••••• W•••••Registered adviserregistration: current employment
Jul 14, 2020 to presentfactForm ADV
→ N•••••••• A•••• M•••••••••Registered adviserregistration: previous registration
Jan 4, 2018 to Jul 7, 2020factForm ADV
→ S••Registered adviserregistration: previous registration
Nov 20, 2015 to Dec 31, 2017factForm ADV
→ W•••• F•••• A•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8746c9ed-f6ed-98ee-0ae4-ddef0026032c
First observed: Jun 29, 2006
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.