DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)43 years in industry

P•••••• D•••• T•••••

Advisor at S•••••••• F•••••••• C•••••••• L••

METAIRIE, LA

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Search this name across graphsid dfx:ria:dcedf295-5f12-17f0-8825-faeac0b379b0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Feb 15, 2007 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: S•••••••• F•••••••• C•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jun 1, 1983earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• F•••••••• C•••••••• L••	Independent wealth	May 15, 2012	n/a	yes	METAIRIE, LA	Current employment
M••••• S•••••• C•••••••••	n/a	Feb 10, 2009	Sep 8, 2009	no	BOSTON, MA\|METAIRIE, LA\|BOSTON, MA\|METAIRIE, LA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S•••••• C•••••••••	S•••••••• F•••••••• C•••••••• L••	Sep 8, 2009	May 15, 2012	980	Firm change after gap	Other
A••••••• G•••••• S••••••••• I•••••••••	M••••• S•••••• C•••••••••	Jun 27, 2008	Feb 10, 2009

Relationships

Registered with (3)

→ S•••••••• F•••••••• C•••••••• L••Registered adviserregistration: current employment
May 15, 2012 to presentfactForm ADV
→ M••••• S•••••• C•••••••••Registered adviserregistration: previous registration
Feb 10, 2009 to Sep 8, 2009factForm ADV
→ A••••••• G•••••• S••••••••• I•••••••••Registered adviserregistration: previous registration
Feb 15, 2007 to Jun 27, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:dcedf295-5f12-17f0-8825-faeac0b379b0
First observed: Feb 15, 2007
Last observed: Sep 14, 2026 9 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.