DFX Intelligence

R••••• F• B••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

R••••• F• B••••••••

Advisor at S•••••• W••••• P•••••••• L••

Beachwood, OH | Derwood, MD

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Feb 10, 2012 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••••• P•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 4, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• W••••• P•••••••• L••	Bd affiliated wealth	Jul 17, 2026	n/a	yes	Derwood, MD\|Beachwood, OH	Current employment
S•• I••••••••• M••••••••• C•••	Mixed wealth	Nov 13, 2023	Jul 15, 2026	no	Alexandria, VA\|OAKS, PA\|Derwood, MD

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•• I••••••••• M••••••••• C•••	S•••••• W••••• P•••••••• L••	Jul 15, 2026	Jul 17, 2026	2	Firm change	RIA to ibd
M••••• S••••••	S•• I••••••••• M••••••••• C•••	Oct 4, 2023	Nov 13, 2023

Relationships

Registered with (5)

→ S•••••• W••••• P•••••••• L••Registered adviserregistration: current employment
Jul 17, 2026 to presentfactForm ADV
→ S•• I••••••••• M••••••••• C•••Registered adviserregistration: previous registration
Nov 13, 2023 to Jul 15, 2026factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Feb 1, 2021 to Oct 4, 2023factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

Order

Occurred
15 Jul 2026
Advisor changed firm
••• Locked
Form ADV
Occurred
4 Oct 2023
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 10, 2012
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.