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S•••••• E••••• R•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

S•••••• E••••• R•••••

Advisor at A••••••••• I••••••••• A•••••••

TAMPA, FL | Seattle, WA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:daa7e352-31ab-1c6c-fa6e-02d6257ae307

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Feb 6, 2003 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••••••••• I••••••••• A•••••••
Current firm class: mixed wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 5, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• I••••••••• A•••••••	Mixed wealth	Dec 1, 2022	n/a	yes	TAMPA, FL\|Seattle, WA	Current employment
S••••••••• A•••••• A•••••••• I•••	Former SEC adviser	Jul 17, 2020	Jul 6, 2021	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
F•••••• 3•• G•••• L••	S••••••••• A•••••• A•••••••• I•••	Feb 24, 2023	Jul 17, 2020	-952	Firm change after gap	RIA to ibd
S••••••••• A•••••• A•••••••• I•••	A••••••••• I••••••••• A•••••••	Jul 6, 2021

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
282391:110518:FL:2023-02-24	Feb 24, 2023	Jul 17, 2020	PLANTATION, FL	Firm change after gap
110518:309550:FL:2021-07-06	Jul 6, 2021	Dec 1, 2022	PLANTATION, FL	Firm change after gap

Relationships

Registered with (8)

→ A••••••••• I••••••••• A•••••••Registered adviserregistration: current employment
Dec 1, 2022 to presentfactForm ADV
→ F•••••• 3•• G•••• L••Registered adviserregistration: previous registration
Mar 23, 2016 to Feb 24, 2023factForm ADV
→ S••••••••• A•••••• A•••••••• I•••Registered adviserregistration: previous registration
Jul 17, 2020 to Jul 6, 2021factForm ADV
→ I••••••••• A••••••• S••••••• I••

Dated events

Occurred
Feb 24, 2023
Advisor changed firm
S•••••• E••••• R••••• left F•••••• 3•• G•••• L•• for S••••••••• A•••••• A•••••••• I••• (registered 2020-07-17)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:daa7e352-31ab-1c6c-fa6e-02d6257ae307
First observed: Feb 6, 2003
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.