DFX Intelligence

A••••• R•••• B•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Analyst15 years in industry

A••••• R•••• B•••••••

Advisor at S••••• W••••• M•••••••••

ROCKFORD, IL | Lancaster, PA

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Search this name across graphsid dfx:ria:c71a98b3-5537-3c2c-aad1-7efbc6212a6c

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: May 23, 2011 to Sep 15, 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: May 21, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• W••••• M•••••••••	Independent wealth	May 15, 2023	n/a	yes	ROCKFORD, IL\|Lancaster, PA	Current employment
D••••• W•••••• L••	Former SEC adviser	Feb 19, 2015	Aug 4, 2023	no	LANCASTER, PA\|LANCASTER, PA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
D••••• W•••••• L••	S••••• W••••• M•••••••••	Aug 4, 2023	May 15, 2023	-81	Firm change after gap	RIA to RIA
P••••••••• W••••• M••••••••• L••	D••••• W•••••• L••	Feb 23, 2015	Feb 19, 2015

Team moves

••• Locked

Team	Left	Joined	From	Kind
174303:107271:PA:2023-08-04	Aug 4, 2023	May 15, 2023	LANCASTER, PA	Firm change after gap
152072:174303:PA:2015-02-23	Feb 23, 2015	Feb 19, 2015	YORK, PA	Firm change

Relationships

Registered with (3)

→ S••••• W••••• M•••••••••Registered adviserregistration: current employment
May 15, 2023 to presentfactForm ADV
→ D••••• W•••••• L••Registered adviserregistration: previous registration
Feb 19, 2015 to Aug 4, 2023factForm ADV
→ P••••••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
May 23, 2011 to Feb 23, 2015factForm ADV

Dated events

Occurred
Aug 4, 2023
Advisor changed firm
A••••• R•••• B••••••• left D••••• W•••••• L•• for S••••• W••••• M••••••••• (registered 2023-05-15)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c71a98b3-5537-3c2c-aad1-7efbc6212a6c
First observed: May 23, 2011
Last observed: Sep 15, 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.