DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)38 years in industry

R••••• S• P•••••

Advisor at S••••• A••••••• I•••

BIRMINGHAM, AL | Parkland, FL

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jun 15, 2006 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••••• A••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 5, 1987earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• A••••••• I•••	Bd affiliated wealth	Jan 16, 2024	n/a	yes	Parkland, FL\|BIRMINGHAM, AL	Current employment
S••••• A••• I••••••••• A•••••• S•••••••• I•••	Former SEC adviser	Oct 1, 2013	Jan 30, 2015	no	YOUNGSTOWN, OH\|PARKLAND, FL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••• A••• I••••••••• A•••••• S•••••••• I•••	S••••• A••••••• I•••	Jan 30, 2015	Jan 16, 2024	3,273	Bulk transfer	Other
S•••••••• I••••••••• N•••• I•••	S••••• A••• I••••••••• A•••••• S•••••••• I•••	Sep 30, 2013	Oct 1, 2013

Relationships

Registered with (5)

→ S••••• A••••••• I•••Registered adviserregistration: current employment
Jan 16, 2024 to presentfactForm ADV
→ S••••• A••• I••••••••• A•••••• S•••••••• I•••Registered adviserregistration: previous registration
Oct 1, 2013 to Jan 30, 2015factForm ADV
→ S•••••••• I••••••••• N•••• I•••Registered adviserregistration: previous registration
Mar 26, 2013 to Sep 30, 2013factForm ADV
→ K••••• A•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 15, 2006
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.