DFX Intelligence

S••••• M•••••• G••••••••: advisor on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisorCertified Financial Planner32 years in industry

S••••• M•••••• G••••••••

Advisor at W•••••• A•••••••• L••

BIRMINGHAM, AL | MERRILLVILLE, IN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:8dc047c4-d05c-f668-0147-1f2356bf01a8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Feb 1, 2001 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: W•••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: May 5, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••••• A•••••••• L••	Independent wealth	Jan 11, 2024	n/a	yes	BIRMINGHAM, AL\|MERRILLVILLE, IN	Current employment
S•••••••• F•••••••• G••••• L••	Former SEC adviser	Oct 8, 2007	Mar 29, 2024	no	MERRILLVILLE, IN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••••• F•••••••• G••••• L••	W•••••• A•••••••• L••	Mar 29, 2024	Jan 11, 2024	-78	Firm change after gap	RIA to RIA
U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••	S•••••••• F•••••••• G••••• L••	Oct 22, 2007

Team moves

••• Locked

Team	Left	Joined	From	Kind
144287:115332:IN:2024-03-23	Mar 29, 2024	Jan 11, 2024	MERRILLVILLE, IN	Firm change after gap

Relationships

Registered with (3)

→ W•••••• A•••••••• L••Registered adviserregistration: current employment
Jan 11, 2024 to presentfactForm ADV
→ S•••••••• F•••••••• G••••• L••Registered adviserregistration: previous registration
Oct 8, 2007 to Mar 29, 2024factForm ADV
→ U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••Registered adviserregistration: previous registration
Feb 1, 2001 to Oct 22, 2007factForm ADV

Dated events

Occurred
Mar 29, 2024
Advisor changed firm
S••••• M•••••• G•••••••• left S•••••••• F•••••••• G••••• L•• for W•••••• A•••••••• L•• (registered 2024-01-11)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8dc047c4-d05c-f668-0147-1f2356bf01a8
First observed: Feb 1, 2001
Last observed: Sep 14, 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.