DFX Intelligence

D•••• E••• B••••••: advisor on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)14 years in industry

D•••• E••• B••••••

Advisor at S•••••• W••••• M••••••••• L••

••• Locked

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:9cdd124f-3108-f418-6130-6673e6dedc83

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jun 28, 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••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Dec 30, 2011earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• W••••• M••••••••• L••	Independent wealth	Aug 26, 2016	n/a	yes	ATLANTA, GA\|BARRINGTON, IL\|Chicago, IL	Current employment
C•• S••••••••• L••	Former SEC adviser	Jun 28, 2012	Jun 7, 2013	no	CHICAGO, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••• F•••••••• S•••••••• I•••	C•• S••••••••• L••	Jun 7, 2013	Jun 28, 2012	-344	Channel change	Other
C•• S••••••••• L••	S••••••• F•••••••• S•••••••• I•••	Jun 7, 2013	Jun 28, 2012

Relationships

Registered with (3)

→ S•••••• W••••• M••••••••• L••Registered adviserregistration: current employment
Aug 26, 2016 to presentfactForm ADV
→ S••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jun 28, 2012 to Jun 7, 2013factForm ADV
→ C•• S••••••••• L••Registered adviserregistration: previous registration
Jun 28, 2012 to Jun 7, 2013factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9cdd124f-3108-f418-6130-6673e6dedc83
First observed: Jun 28, 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.