DFX Intelligence

G••••• W•••••• S••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)28 years in industry

G••••• W•••••• S••••••

Advisor at S•••••• P••••••• I••••••••• A•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:aa072fa8-85d1-b2c9-aa8a-2897d47840f8

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Sep 10, 2003 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•••••• P••••••• I••••••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Nov 14, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• P••••••• I••••••••• A•••••••• L••	Bd affiliated wealth	Mar 30, 2016	n/a	yes	McLean, VA\|STAMFORD, CT\|ARLINGTON, VA	Current employment
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Bd affiliated wealth	Apr 11, 2016	Dec 8, 2016	no	WASHINGTON, DC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	n/a	Dec 8, 2016	n/a	n/a	Departure no registered destination	Departure
W•••• F•••• A•••••••	S•••••• P••••••• I••••••••• A•••••••• L••	Mar 18, 2016	Mar 30, 2016	12

Relationships

Registered with (5)

→ S•••••• P••••••• I••••••••• A•••••••• L••Registered adviserregistration: current employment
Mar 30, 2016 to presentfactForm ADV
→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserregistration: previous registration
Apr 11, 2016 to Dec 8, 2016factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Feb 26, 2008 to Mar 18, 2016factForm ADV
→ S••••••• I••••••••• S•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:aa072fa8-85d1-b2c9-aa8a-2897d47840f8
First observed: Sep 10, 2003
Last observed: Sep 15, 2026 7 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.