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A••••• N••••• W••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor10 years in industry

A••••• N••••• W••••

Advisor at S••••• W••••• M•••••••••

ROCKFORD, IL | Birmingham, AL

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Search this name across graphsid dfx:ria:96b295b4-6b88-72d1-09a8-9c41241b4a0c

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Apr 27, 2017 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••••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms

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••••• M•••••••••	Independent wealth	Jul 15, 2025	n/a	yes	Birmingham, AL\|ROCKFORD, IL	Current employment
N•• I••••• C••••••	Independent wealth	Oct 16, 2023	May 12, 2025	no

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
N•• I••••• C••••••	S••••• W••••• M•••••••••	May 12, 2025	Jul 15, 2025	64	Firm change	RIA to RIA
P•••••••• S••••••••• I•••	N•• I••••• C••••••	Sep 27, 2023

Relationships

Registered with (3)

→ S••••• W••••• M•••••••••Registered adviserregistration: current employment
Jul 15, 2025 to presentfactForm ADV
→ N•• I••••• C••••••Registered adviserregistration: previous registration
Oct 16, 2023 to May 12, 2025factForm ADV
→ P•••••••• S••••••••• I•••Registered adviserregistration: previous registration
Apr 27, 2017 to Sep 27, 2023factForm ADV

Dated events

Occurred
May 12, 2025
Advisor changed firm
A••••• N••••• W•••• left N•• I••••• C•••••• for S••••• W••••• M••••••••• (registered 2025-07-15)
Form ADVobserved 6 days ago
Occurred
Sep 27, 2023
Advisor changed firm
A••••• N••••• W•••• left P•••••••• S••••••••• I••• for N•• I••••• C•••••• (registered 2023-10-16)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:96b295b4-6b88-72d1-09a8-9c41241b4a0c
First observed: Apr 27, 2017
Last observed: Sep 15, 2026 6 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.