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

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RIA / WealthAdvisorCertified Financial Planner15 years in industry

D•••• C•••••• P•••••••

Advisor at S••••• W••••• M•••••••••

Tampa, FL | ROCKFORD, IL

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Search this name across graphs

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Sep 1, 2011 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••••• W••••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Dec 29, 2010earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• W••••• M•••••••••	Independent wealth	Apr 23, 2026	n/a	yes	ROCKFORD, IL\|Tampa, FL	Current employment
E••••••• W••••• A•••••••	Former SEC adviser	Jun 9, 2020	Apr 30, 2026	no	OKLAHOMA CITY, OK\|Huntersville, NC\|Tampa, FL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E••••••• W••••• A•••••••	S••••• W••••• M•••••••••	Apr 30, 2026	Apr 23, 2026	-7	Bulk transfer	RIA to RIA
W••••••••• W••••• M••••••••• L••	E••••••• W••••• A•••••••	Jul 10, 2020	Jun 9, 2020

Team moves

••• Locked

Team	Left	Joined	From	Kind
129613:130475:NC:2020-07-10	Jul 10, 2020	Jun 9, 2020	HUNTERSVILLE, NC	Firm change after gap

Relationships

Registered with (6)

→ S••••• W••••• M•••••••••Registered adviserregistration: current employment
Apr 23, 2026 to presentfactForm ADV
→ E••••••• W••••• A•••••••Registered adviserregistration: previous registration
Jun 9, 2020 to Apr 30, 2026factForm ADV
→ W••••••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Apr 30, 2019 to Jul 10, 2020factForm ADV
→ C•••••• S••••• • C••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Sep 1, 2011
Last observed: Sep 14, 2026 10 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.