DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)47 years in industry

G••• S••••• S••••••

Advisor at S•••••• W••••• M••••••••• I•••

TROY, MO

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Search this name across graphsid dfx:ria:ac8bc7b3-10c0-849e-4038-9b48b8bb64d2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jun 5, 1998 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: S•••••• W••••• M••••••••• I•••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Oct 1, 1978earliest registration or exam on IAPD
Years in industry: 47derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• W••••• M••••••••• I•••	State registered	Oct 5, 2017	n/a	yes	TROY, MO	Current employment
C••••• • C••••••• I•••	Former SEC adviser	Jun 23, 2006	Sep 29, 2017	no	BALLWIN, MO\|TROY, MO	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• • C••••••• I•••	S•••••• W••••• M••••••••• I•••	Sep 29, 2017	Oct 5, 2017	6	Firm change	Other
S••••• I••••••••• A•••••••• L••	C••••• • C••••••• I•••	Jun 26, 2006	Jun 23, 2006

Team moves

••• Locked

Team	Left	Joined	From	Kind
22449:289794:MO:2017-09-29	Sep 29, 2017	Oct 5, 2017	TROY, MO	Firm change

Relationships

Registered with (3)

→ S•••••• W••••• M••••••••• I•••Registered adviserregistration: current employment
Oct 5, 2017 to presentfactForm ADV
→ C••••• • C••••••• I•••Registered adviserregistration: previous registration
Jun 23, 2006 to Sep 29, 2017factForm ADV
→ S••••• I••••••••• A•••••••• L••Registered adviserregistration: previous registration
Jun 5, 1998 to Jun 26, 2006factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ac8bc7b3-10c0-849e-4038-9b48b8bb64d2
First observed: Jun 5, 1998
Last observed: Sep 14, 2026 9 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.