DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

S•••• M••••• C•••••

Advisor at W•••• F•••• A•••••••

LITTLE ROCK, AR

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Search this name across graphsid dfx:ria:9aa05629-313d-3480-3a8c-36df1fd2410b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Aug 5, 1999 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•••• F•••• A•••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Aug 27, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••• F•••• A•••••••	Wirehouse	Aug 5, 2022	n/a	yes	LITTLE ROCK, AR\|LITTLE ROCK, AR	Current employment
W•••• F•••• A•••••••	Wirehouse	Apr 10, 2019	Aug 5, 2022	no	LITTLE ROCK, AR	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	W•••• F•••• A•••••••	Aug 5, 2022	Aug 5, 2022	0	Channel change	Wirehouse to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	W•••• F•••• A•••••••	Feb 28, 2019	Apr 10, 2019

Team moves

••• Locked

Team	Left	Joined	From	Kind
19616:11025:AR:2022-08-04	Aug 5, 2022	Aug 5, 2022	LITTLE ROCK, AR	Firm change

Relationships

Registered with (5)

→ W•••• F•••• A•••••••Registered adviserregistration: current employment
Aug 5, 2022 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Apr 10, 2019 to Aug 5, 2022factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Feb 1, 2017 to Feb 28, 2019factForm ADV
→ V•••• F•••••••• A•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9aa05629-313d-3480-3a8c-36df1fd2410b
First observed: Aug 5, 1999
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.