DFX Intelligence

B•••••• A•• T••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)40 years in industry

B•••••• A•• T••••••••

Advisor at S••••• A•••• M••••••••• L•••••

Tunkhannock, PA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Dec 19, 2019 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••••• A•••• M••••••••• L•••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Apr 9, 1986earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• A•••• M••••••••• L•••••	Independent wealth	Feb 9, 2026	n/a	yes	Tunkhannock, PA	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Jul 10, 2025	Feb 9, 2026	no	SYRACUSE, NY\|TUNKHANNOCK, PA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	S••••• A•••• M••••••••• L•••••	Feb 9, 2026	Feb 9, 2026	0	Firm change	Ibd to RIA
C•••••• G•••• • C• I••	L•• F•••••••• L••	Jul 10, 2025	Jul 10, 2025

Relationships

Registered with (3)

→ S••••• A•••• M••••••••• L•••••Registered adviserregistration: current employment
Feb 9, 2026 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Jul 10, 2025 to Feb 9, 2026factForm ADV
→ C•••••• G•••• • C• I••Registered adviserregistration: previous registration
Dec 19, 2019 to Jul 10, 2025factForm ADV

Dated events

Occurred
Feb 9, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Dec 19, 2019
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.