DFX Intelligence

G••••• U••••• N•••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)39 years in industry

G••••• U••••• N•••••••••

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

••• Locked

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Search this name across graphsid dfx:ria:8ceab5d3-f226-a021-1020-3bee79a786d6

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jan 14, 1999 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: Nov 25, 1986earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 6derivedfrom 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	May 7, 2020	n/a	yes	STAMFORD, CT\|Norfolk, VA\|GLOUCESTER, VA	Current employment
W•••• F•••• A•••••••	Wirehouse	Nov 7, 2005	May 7, 2020	no	NORFOLK, VA\|NORFOLK, VA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	S•••••• P••••••• I••••••••• A•••••••• L••	May 7, 2020	May 7, 2020	0	Firm change	Wirehouse to RIA
L••• M•••• W••• W•••••• I•••••••••	W•••• F•••• A•••••••	Nov 22, 2005	Nov 7, 2005

Team moves

••• Locked

Team	Left	Joined	From	Kind
19616:283004:VA:2020-05-07	May 7, 2020	May 7, 2020	NORFOLK, VA	Firm change

Relationships

Registered with (3)

→ S•••••• P••••••• I••••••••• A•••••••• L••Registered adviserregistration: current employment
May 7, 2020 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Nov 7, 2005 to May 7, 2020factForm ADV
→ L••• M•••• W••• W•••••• I•••••••••Registered adviserregistration: previous registration
Jan 14, 1999 to Nov 22, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8ceab5d3-f226-a021-1020-3bee79a786d6
First observed: Jan 14, 1999
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.