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

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultant33 years in industry

D•••••• E••••• L••••

Advisor at S••••••••• P•••••• C•••••• M••••••••• L••

COLUMBIA, SC | Denver, CO

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Search this name across graphsid dfx:ria:ac7ae83a-2022-5934-c51b-0c992b916ab6

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 3, 2006 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•••••• C•••••• M••••••••• L••
Current firm class: other adviserderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 19, 1992earliest registration or exam on IAPD
Years in industry: 33derivedfrom 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
S••••••••• P•••••• C•••••• M••••••••• L••	Other adviser	Mar 27, 2018	n/a	yes	Denver, CO\|COLUMBIA, SC	Current employment
W••••• W••••• M••••••••• L••	Former SEC adviser	Oct 16, 2013	Mar 21, 2018	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
W••••• W••••• M••••••••• L••	S••••••••• P•••••• C•••••• M••••••••• L••	Mar 21, 2018	Mar 27, 2018	6	Firm change	Other
S••••• W••••• A•••••••• I•••	W••••• W••••• M••••••••• L••	Oct 15, 2013

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
109937:165306:CO:2018-03-21	Mar 21, 2018	Mar 27, 2018	DENVER, CO	Firm change

Relationships

Registered with (4)

→ S••••••••• P•••••• C•••••• M••••••••• L••Registered adviserregistration: current employment
Mar 27, 2018 to presentfactForm ADV
→ W••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Oct 16, 2013 to Mar 21, 2018factForm ADV
→ S••••• W••••• A•••••••• I•••Registered adviserregistration: previous registration
Jan 3, 2012 to Oct 15, 2013factForm ADV
→ C•••••• S••••• • C••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ac7ae83a-2022-5934-c51b-0c992b916ab6
First observed: Jan 3, 2006
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.