DFX Intelligence

R••••• M•••••• C••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor48 years in industry

R••••• M•••••• C••••••

Advisor at S••••• M•••••••••

NORTH LITTLE ROCK, AR | NORMAN, OK

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Search this name across graphsid dfx:ria:89cae29f-7955-6827-1ab3-b7d07fe23280

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Jan 24, 2011 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••••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 1, 1978earliest registration or exam on IAPD
Years in industry: 48derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• M•••••••••	Independent wealth	Jan 1, 2025	n/a	yes	NORMAN, OK\|NORTH LITTLE ROCK, AR	Current employment
P•••••• A•••••• G••••• L••	Bd affiliated wealth	May 21, 2021	Apr 10, 2023	no	Norman, OK\|MORRISTOWN, NJ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P•••••• A•••••• G••••• L••	S••••• M•••••••••	Apr 10, 2023	Jan 1, 2025	632	Firm change after gap	Ibd to RIA
S••••• M•••••••••	P•••••• A•••••• G••••• L••	May 21, 2021	May 21, 2021

Relationships

Registered with (5)

→ S••••• M•••••••••Registered adviserregistration: previous registration
Mar 15, 2017 to May 21, 2021factForm ADV
→ P•••••• A•••••• G••••• L••Registered adviserregistration: previous registration
May 21, 2021 to Apr 10, 2023factForm ADV
→ C•••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Sep 30, 2015 to Dec 31, 2017factForm ADV
→ G•••• V••••• A•••••• G••••• L••

Dated events

Occurred
Apr 10, 2023
A•••••• firm change
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:89cae29f-7955-6827-1ab3-b7d07fe23280
First observed: Jan 24, 2011
Last observed: Sep 15, 2026 8 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.