DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner18 years in industry

R•••• T• S••••••••

Advisor at S••••• W••••• M•••••••••

ROCKFORD, IL | Middletown, RI

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Search this name across graphsid dfx:ria:b1779ffb-e815-dfb3-19e3-5de62dc655ee

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Apr 14, 2009 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••••• W••••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Nov 1, 2007earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• W••••• M•••••••••	Independent wealth	May 2, 2025	n/a	yes	Middletown, RI\|ROCKFORD, IL	Current employment
C••••••• F•••••••• I••	Former SEC adviser	Apr 14, 2009	May 2, 2025	no	MIDDLETOWN, RI	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••• F•••••••• I••	S••••• W••••• M•••••••••	May 2, 2025	May 2, 2025	0	Firm change	RIA to RIA

Team moves

••• Locked

Team	Left	Joined	From	Kind
109115:107271:RI:2025-05-02	May 2, 2025	May 2, 2025	MIDDLETOWN, RI	Firm change

Relationships

Registered with (2)

→ S••••• W••••• M•••••••••Registered adviserregistration: current employment
May 2, 2025 to presentfactForm ADV
→ C••••••• F•••••••• I••Registered adviserregistration: previous registration
Apr 14, 2009 to May 2, 2025factForm ADV

Dated events

Occurred
May 2, 2025
Advisor changed firm
R•••• T• S•••••••• left C••••••• F•••••••• I•• for S••••• W••••• M••••••••• (registered 2025-05-02)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b1779ffb-e815-dfb3-19e3-5de62dc655ee
First observed: Apr 14, 2009
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.