DFX Intelligence

K••••• R••••• W•••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor17 years in industry

K••••• R••••• W•••••••••

Advisor at S•• I••••••••• M••••••••• C•••

OAKS, PA

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Search this name across graphsid dfx:ria:c0ec1f4f-e90b-cdae-48d8-d2e113fe10c8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:41 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Apr 17, 2009 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•• I••••••••• M••••••••• C•••
Current firm class: mixed wealth managerderived
Book size: not public••• Locked
Industry start: Apr 17, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•• I••••••••• M••••••••• C•••	Mixed wealth	Oct 16, 2019	n/a	yes	OAKS, PA	Current employment
S••••• B•••••	Former SEC adviser	Apr 17, 2009	Mar 15, 2012	no	BOSTON, MA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••• B•••••	S•• I••••••••• M••••••••• C•••	Mar 15, 2012	Oct 16, 2019	2,771	Firm change after gap	Other

Relationships

Registered with (2)

→ S•• I••••••••• M••••••••• C•••Registered adviserregistration: current employment
Oct 16, 2019 to presentfactForm ADV
→ S••••• B•••••Registered adviserregistration: previous registration
Apr 17, 2009 to Mar 15, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c0ec1f4f-e90b-cdae-48d8-d2e113fe10c8
First observed: Apr 17, 2009
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.