DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisor45 years in industry

M••••• D•••••• P••••••

Advisor at S•• W••••• A•••••••• L••

••• Locked

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:dc369503-28c3-1285-4b40-3de89f6cd7b0

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Dec 13, 2002 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••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 1, 1981earliest registration or exam on IAPD
Years in industry: 45derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•• W••••• A•••••••• L••	Independent wealth	Aug 28, 2026	n/a	yes	PARSIPPANY, NJ\|Ponte Vedra, FL	Current employment
L••••••••• R•••••••••	Independent wealth	Dec 6, 2019	n/a	yes	PONTE VEDRA, FL	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
K••••• A•••••••• I•••	L••••••••• R•••••••••	Jun 18, 2008	Jun 17, 2008	-1	Firm change	Other
O•••• F•• I•••	K••••• A•••••••• I•••	Apr 24, 2003	Mar 24, 2008

Relationships

Registered with (4)

→ S•• W••••• A•••••••• L••Registered adviserregistration: current employment
Aug 28, 2026 to presentfactForm ADV
→ L••••••••• R•••••••••Registered adviserregistration: previous registration
Sep 13, 2012 to Dec 31, 2012factForm ADV
→ K••••• A•••••••• I•••Registered adviserregistration: previous registration
Mar 24, 2008 to Jun 18, 2008factForm ADV
→ O•••• F•• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:dc369503-28c3-1285-4b40-3de89f6cd7b0
First observed: Dec 13, 2002
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.