DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

C•••••••• N•••••• L••••• D••••

Advisor at A••••••••• F•••••••• S•••••••• L••

••• Locked

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: May 14, 2018 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Aug 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Oct 10, 2025	n/a	yes	Millsboro, DE\|Milford, DE\|Georgetown, DE	Current employment
C••••••• S••••••••• I•••	Bd affiliated wealth	Sep 20, 2021	Oct 14, 2025	no	MIDDLETOWN, DE\|BEAR, DE\|WILMINGTON, DE\|SMYRNA, DE\|SEAFORD, DE\|CONSHOHOCKEN, PA\|MILFORD, DE

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••• S••••••••• I•••	A••••••••• F•••••••• S•••••••• L••	Oct 14, 2025	Oct 10, 2025	-4	Firm change	Ibd to ibd
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	C••••••• S••••••••• I•••	Sep 7, 2021	Sep 20, 2021

Relationships

Registered with (3)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Oct 10, 2025 to presentfactForm ADV
→ C••••••• S••••••••• I•••Registered adviserregistration: previous registration
Sep 20, 2021 to Oct 14, 2025factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
May 14, 2018 to Sep 7, 2021factForm ADV

Dated events

Order

Occurred
14 Oct 2025
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: May 14, 2018
Last observed: Sep 15, 2026 8 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.