DFX Intelligence

F••••• A•••• K••• M••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

F••••• A•••• K••• M••••

Advisor at S•••• W••••• M••••••••• L••

MCLEAN, VA

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Search this name across graphsid dfx:ria:c4abc254-692c-faa3-dd76-be352830c6a3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 18, 2010 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••••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Feb 25, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••• W••••• M••••••••• L••	Bd affiliated wealth	Nov 20, 2020	n/a	yes	MCLEAN, VA	Current employment
B••••••• I••••••••• L•••	n/a	Jul 5, 2017	Nov 19, 2020	no	MEDIA, PA\|MEDIA, PA\|ALLENTOWN, PA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••••••• I••••••••• L•••	S•••• W••••• M••••••••• L••	Nov 19, 2020	Nov 20, 2020	1	Firm change	Other
S••••••• I••••••••• I•••	B••••••• I••••••••• L•••	Feb 3, 2016	Jul 5, 2017

Relationships

Registered with (3)

→ S•••• W••••• M••••••••• L••Registered adviserregistration: current employment
Nov 20, 2020 to presentfactForm ADV
→ B••••••• I••••••••• L•••Registered adviserregistration: previous registration
Jul 5, 2017 to Nov 19, 2020factForm ADV
→ S••••••• I••••••••• I•••Registered adviserregistration: previous registration
Mar 18, 2010 to Feb 3, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c4abc254-692c-faa3-dd76-be352830c6a3
First observed: Mar 18, 2010
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.