DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)18 years in industry

S••••• M• D•••••

Advisor at C••••• I••••••••• A••••••• L••

TUCSON, AZ | BEDFORD, NH

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Search this name across graphsid dfx:ria:da1cadd4-0e73-fa2e-8770-7af238f9f3e5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: May 28, 2009 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: C••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 13, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Jun 18, 2024	n/a	yes	BEDFORD, NH\|TUCSON, AZ	Current employment
C•••••••• I••••••••• R••••••• A•••••••• I•••	Bd affiliated wealth	Nov 12, 2018	Jun 26, 2024	no	Bedford, NH\|Sahuarita, AZ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••••• I••••••••• R••••••• A•••••••• I•••	C••••• I••••••••• A••••••• L••	Jun 26, 2024	Jun 18, 2024	-8	Firm change	Ibd to ibd
B••••• W••••• M••••••••• L••	C•••••••• I••••••••• R••••••• A•••••••• I•••	Nov 29, 2018	Nov 12, 2018

Relationships

Registered with (4)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Jun 18, 2024 to presentfactForm ADV
→ C•••••••• I••••••••• R••••••• A•••••••• I•••Registered adviserregistration: previous registration
Nov 12, 2018 to Jun 26, 2024factForm ADV
→ B••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Dec 20, 2013 to Nov 29, 2018factForm ADV
→ B••••• W••••• M••••••••• L••

Dated events

Occurred
Jun 26, 2024
Advisor changed firm
S••••• M• D••••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2024-06-18)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:da1cadd4-0e73-fa2e-8770-7af238f9f3e5
First observed: May 28, 2009
Last observed: Sep 14, 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.