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

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RIA / WealthAdvisor42 years in industry

R•••••• V••••• S•••••

Advisor at A•••••• W••••• M••••••••• L••

MOUNT PLEASANT, SC | NEWTON, PA

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:c31f99a7-6a53-8b89-74f8-2720ed577765

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: May 15, 1999 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: A•••••• W••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 11, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 5derivedfrom 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
A•••••• W••••• M••••••••• L••	Independent wealth	Aug 16, 2021	n/a	yes	NEWTON, PA\|MOUNT PLEASANT, SC	Current employment
P•••• F••••• L••	Former SEC adviser	Jul 7, 2010	Mar 3, 2021	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
P•••• A••••••• G••••• L••	P•••• F••••• L••	Sep 21, 2021	Jul 7, 2010	-4,094	Firm change after gap	Other
P•••• F••••• L••	A•••••• W••••• M••••••••• L••	Mar 3, 2021

Team moves

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

Team	Left	Joined	From	Kind
135414:152555:PA:2017-12-31	Dec 31, 2017	Jan 13, 2010	NEWTOWN, PA	Firm change after gap

Relationships

Registered with (7)

→ A•••••• W••••• M••••••••• L••Registered adviserregistration: current employment
Aug 16, 2021 to presentfactForm ADV
→ P•••• A••••••• G••••• L••Registered adviserregistration: previous registration
Jan 13, 2010 to Sep 21, 2021factForm ADV
→ P•••• F••••• L••Registered adviserregistration: previous registration
Jul 7, 2010 to Mar 3, 2021factForm ADV
→ M••••••• P••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c31f99a7-6a53-8b89-74f8-2720ed577765
First observed: May 15, 1999
Last observed: Sep 14, 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.