DFX Intelligence

Data Factory

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)30 years in industry

S••••• S•• P•••••••••

Advisor at R•••••• J•••• F•••••••• S••••••• A•••••••• I••

LEESBURG, VA | Rockville, MD

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:b3a3b712-9eba-1239-3eda-c98ca3b613e1

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Feb 15, 2000 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: R•••••• J•••• F•••••••• S••••••• A•••••••• I••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 26, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 3derivedfrom 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
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Bd affiliated wealth	May 10, 2023	n/a	yes	Rockville, MD\|LEESBURG, VA	Current employment
E•••••• F•••••••• E••••••	Independent wealth	Nov 1, 2018	Feb 27, 2023	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
E•••••• F•••••••• E••••••	R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Feb 27, 2023	May 10, 2023	72	Firm change	RIA to ibd
E•••••• F•••••••• S•••••••• L••	E•••••• F•••••••• E••••••	Nov 1, 2018

Relationships

Registered with (5)

→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserregistration: current employment
May 10, 2023 to presentfactForm ADV
→ E•••••• F•••••••• E••••••Registered adviserregistration: previous registration
Nov 1, 2018 to Feb 27, 2023factForm ADV
→ E•••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Mar 22, 2012 to Nov 1, 2018factForm ADV
→ B••• F•••••••• I••••••••• A••••••• C••••

Dated events

Occurred
Feb 27, 2023
A•••••• firm change
S••••• S•• P••••••••• left E•••••• F•••••••• E•••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2023-05-10)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b3a3b712-9eba-1239-3eda-c98ca3b613e1
First observed: Feb 15, 2000
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.