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

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RIA / WealthAdvisor42 years in industry

S•••••• M•••••• A••••••••

Advisor at C•••••• M•••••• I•• L••

Wilkes Barre, PA | ARLINGTON, TX

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Search this name across graphsid dfx:ria:a877dc3c-ddef-5190-8c12-77eff43d4c75

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 1, 2002 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: C•••••• M•••••• I•• L••
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: Oct 13, 1983earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 8derivedfrom 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
C•••••• M•••••• I•• L••	Independent wealth	Nov 17, 2017	n/a	yes	ARLINGTON, TX\|Wilkes Barre, PA	Current employment
P••••••• F•••••••• S•••••••• I•••	Bd affiliated wealth	Apr 28, 2009	Nov 17, 2017	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
P••••••• F•••••••• S•••••••• I•••	C•••••• M•••••• I•• L••	Nov 17, 2017	Nov 17, 2017	0	Firm change	Other
S••	P••••••• F•••••••• S•••••••• I•••	Apr 27, 2009

Relationships

Registered with (4)

→ C•••••• M•••••• I•• L••Registered adviserregistration: current employment
Nov 17, 2017 to presentfactForm ADV
→ P••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Apr 28, 2009 to Nov 17, 2017factForm ADV
→ SPCRegistered adviserregistration: previous registration
May 9, 2005 to Apr 27, 2009factForm ADV
→ F•••• S••••••• I••••••••• I•••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a877dc3c-ddef-5190-8c12-77eff43d4c75
First observed: Jan 1, 2002
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.