DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner|Personal Financial Specialist35 years in industry

S•••• D•••••• F•••••••••

Advisor at S••••• W••••• M•••••••••

ROCKFORD, IL | Albuquerque, NM

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Search this name across graphsid dfx:ria:88c738d9-6d6a-7636-1ac1-efd5444a52ac

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Jul 27, 2006 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: S••••• W••••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Aug 1, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• W••••• M•••••••••	Independent wealth	Jun 2, 2026	n/a	yes	Albuquerque, NM\|ROCKFORD, IL	Current employment
M••••••• W••••• A•••••••• L••	Former SEC adviser	Jul 27, 2006	Jun 16, 2026	no	ALBUQUERQUE, NM

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••••• W••••• A•••••••• L••	S••••• W••••• M•••••••••	Jun 16, 2026	Jun 2, 2026	-14	Firm change	RIA to RIA

Relationships

Registered with (2)

→ S••••• W••••• M•••••••••Registered adviserregistration: current employment
Jun 2, 2026 to presentfactForm ADV
→ M••••••• W••••• A•••••••• L••Registered adviserregistration: previous registration
Jul 27, 2006 to Jun 16, 2026factForm ADV

Dated events

Occurred
Jun 16, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:88c738d9-6d6a-7636-1ac1-efd5444a52ac
First observed: Jul 27, 2006
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.