DFX Intelligence

D•••• S•••• F••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)33 years in industry

D•••• S•••• F••••

Advisor at ••••••••

••• Locked

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Search this name across graphsid dfx:ria:96c07ea6-65df-213c-f23a-99125887921b

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Aug 16, 2000 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: ••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Mar 26, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
••••••••	Independent wealth	Oct 18, 2024	n/a	yes	Baltimore, MD\|Clayton, MO\|NASHVILLE, TN	Current employment
W•••• F•••• A•••••••	Wirehouse	Feb 10, 2012	Oct 23, 2024	no	LUTHERVILLE, MD	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	••••••••	Oct 23, 2024	Oct 18, 2024	-5	Firm change	Wirehouse to RIA
M••••• S••••••	W•••• F•••• A•••••••	Feb 16, 2012	Feb 10, 2012

Team moves

••• Locked

Team	Left	Joined	From	Kind
19616:3767:MD:2024-10-23	Oct 23, 2024	Oct 18, 2024	LUTHERVILLE, MD	Firm change

Relationships

Registered with (4)

→ ••••••••Registered adviserregistration: current employment
Oct 18, 2024 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Feb 10, 2012 to Oct 23, 2024factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to Feb 16, 2012factForm ADV
→ C•••••••• G••••• M•••••• I•••

Dated events

Occurred
Oct 23, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:96c07ea6-65df-213c-f23a-99125887921b
First observed: Aug 16, 2000
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.