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

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RIA / WealthAdvisor11 years in industry

S• P•••• P•••

Advisor at D•••••••• A••••••• S•••••••• L••

Bolingbrook, IL | SOUTH JORDAN, UT

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Search this name across graphsid dfx:ria:bad87401-625a-abcf-f751-21ac8d1be5ae

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jan 2, 2015 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: D•••••••• A••••••• S•••••••• L••
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: Nov 17, 2014earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 2derivedfrom 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
D•••••••• A••••••• S•••••••• L••	Bd affiliated wealth	Jul 16, 2024	n/a	yes	Bolingbrook, IL\|SOUTH JORDAN, UT	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Nov 11, 2021	Jul 18, 2024	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
L•• F•••••••• L••	D•••••••• A••••••• S•••••••• L••	Jul 18, 2024	Jul 16, 2024	-2	Firm change	Ibd to ibd
C•••••• S••••• • C••• I•••	L•• F•••••••• L••	Nov 16, 2021

Team moves

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

Team	Left	Joined	From	Kind
250:5393:IL:2015-11-27	Dec 10, 2015	Jan 5, 2016	BOLINGBROOK, IL	Firm change

Relationships

Registered with (4)

→ D•••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Jul 16, 2024 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Nov 11, 2021 to Jul 18, 2024factForm ADV
→ C•••••• S••••• • C••• I•••Registered adviserregistration: previous registration
Jan 5, 2016 to Nov 16, 2021factForm ADV
→ E••••• J••••

Dated events

Occurred
Jul 18, 2024
Advisor changed firm
S• P•••• P••• left L•• F•••••••• L•• for D•••••••• A••••••• S•••••••• L•• (registered 2024-07-16)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bad87401-625a-abcf-f751-21ac8d1be5ae
First observed: Jan 2, 2015
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.