DFX Intelligence

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

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RIA / WealthAdvisor33 years in industry

S•••• H•••• S•••••••

Advisor at U•••••• W••••• P•••••••

ROGERS, AR | DENVER, CO

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Mar 11, 1998 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: U•••••• W••••• P•••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Dec 7, 1992earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U•••••• W••••• P•••••••	Independent wealth	Oct 28, 2024	n/a	yes	DENVER, CO\|ROGERS, AR	Current employment
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Bd affiliated wealth	Aug 10, 2018	Oct 10, 2024	no	ROGERS, AR

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	U•••••• W••••• P•••••••	Oct 10, 2024	Oct 28, 2024	18	Firm change	Ibd to new firm
R•••••• J•••• • A••••••••• I•••	R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Aug 10, 2018

Team moves

••• Locked

Team	Left	Joined	From	Kind
149018:332317:AR:2024-10-09	Oct 10, 2024	Oct 28, 2024	ROGERS, AR	Firm change
705:149018:AR:2018-08-10	Aug 10, 2018	Aug 10, 2018	FORT SMITH, AR	Firm change

Relationships

Registered with (4)

→ U•••••• W••••• P•••••••Registered adviserregistration: current employment
Oct 28, 2024 to presentfactForm ADV
→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserregistration: previous registration
Aug 10, 2018 to Oct 10, 2024factForm ADV
→ R•••••• J•••• • A••••••••• I•••Registered adviserregistration: previous registration
Nov 10, 2005 to Aug 10, 2018factForm ADV
→ M••••• S•••••• D• I•••

Dated events

Occurred
Oct 10, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 11, 1998
Last observed: Sep 14, 2026 9 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.