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C••••••••• L•• W•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

C••••••••• L•• W•••••••

Advisor at S••••••••• W•••••

Toledo, OH | SUMMIT, NJ

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Search this name across graphsid dfx:ria:8951f53c-cfa2-272e-9179-51037b930023

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Jun 11, 2026 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: mixed wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 1, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 1

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
S••••••••• W•••••	Mixed wealth	Jul 13, 2026	n/a	yes	Toledo, OH\|SUMMIT, NJ	Current employment
T•• A•••••••• I•••	Bd affiliated wealth	Jun 11, 2026	Jul 10, 2026	no	SUMMIT, NJ\|Toledo, OH

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
T•• A•••••••• I•••	S••••••••• W•••••	Jul 10, 2026	Jul 13, 2026	3	Firm change	Ibd to RIA

Relationships

Registered with (2)

→ S••••••••• W•••••Registered adviserregistration: current employment
Jul 13, 2026 to presentfactForm ADV
→ T•• A•••••••• I•••Registered adviserregistration: previous registration
Jun 11, 2026 to Jul 10, 2026factForm ADV

Dated events

Occurred
Jul 10, 2026
Advisor changed firm
C••••••••• L•• W••••••• left T•• A•••••••• I••• for S••••••••• W••••• (registered 2026-07-13)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8951f53c-cfa2-272e-9179-51037b930023
First observed: Jun 11, 2026
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.