DFX Intelligence

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

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RIA / WealthAdvisor41 years in industrynot currently registered

D••••• E••••• C••••••••

Advisor at G••••• S•••••••• N•••••• O•••

SCOTTSDALE, AZ

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Search this name across graphsid dfx:ria:af83bcb7-3793-1022-8016-8a1181520ce5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Mar 12, 1991 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: G••••• S•••••••• N•••••• O•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Nov 26, 1984earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
G••••• S•••••••• N•••••• O•••	Independent wealth	May 15, 2015	n/a	yes	SCOTTSDALE, AZ	Current employment
H••••• • C••• L••	Other adviser	Mar 12, 1991	Jun 2, 2009	no	WEST CONSHOHOCKEN, PA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H••••• • C••• L••	G••••• S•••••••• N•••••• O•••	Jun 2, 2009	May 15, 2015	2,173	Firm change after gap	Other

Relationships

Registered with (2)

→ G••••• S•••••••• N•••••• O•••Registered adviserregistration: current employment
May 15, 2015 to presentfactForm ADV
→ H••••• • C••• L••Registered adviserregistration: previous registration
Mar 12, 1991 to Jun 2, 2009factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Show 1 bookkeeping events

First seen by DFX
Sep 22, 2026
date not stated
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:af83bcb7-3793-1022-8016-8a1181520ce5
First observed: Mar 12, 1991
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.