DFX Intelligence
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Reading the graph
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Advisor at S•••••• P•••••••• L••
O••••, NE | Salem, VA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| S•••••• P•••••••• L•• | Independent wealth | Jan 2, 2026 | n/a | yes | Salem, VA|O••••, NE | Current employment |
| O•••• W•••••• I••• | Bd affiliated wealth | Jun 14, 2024 | Dec 31, 2025 | no | SALEM, VA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| O•••• W•••••• I••• | S•••••• P•••••••• L•• | Dec 31, 2025 | Jan 2, 2026 | 2 | Firm change | Ibd to RIA |
| S••••••••• A•••••• A•••••••• I••• | O•••• W•••••• I••• | Jun 14, 2024 | Jun 14, 2024 |
| S••••••••• A•••••• A•••••••• I••• | Former SEC adviser | Feb 19, 2019 | Jun 14, 2024 | no | SALEM, VA | Previous registration |
| M••••• O• O•••• I••••••• S•••••••• I••• | Independent wealth | Aug 7, 2013 | Feb 28, 2017 | no | ROANOKE, VA | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to ibd |
| M••••• O• O•••• I••••••• S•••••••• I••• | S••••••••• A•••••• A•••••••• I••• | Feb 28, 2017 | Feb 19, 2019 | 721 | Firm change after gap | Other |