DFX Intelligence

C••••••• L•• S••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner29 years in industry

C••••••• L•• S••••••

Advisor at S•••••• W••••• M••••••••• G••••• L••

••• Locked

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Search this name across graphsid dfx:ria:e584e805-6673-646c-9730-7391afa052e2

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jan 27, 2000 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••••• M••••••••• G••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jun 25, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M••••• W••••• M••••••••• L••	Independent wealth	Aug 28, 2026	n/a	yes	KANSAS CITY, MO\|JACKSONVILLE , FL	Current employment
S•••••• W••••• M••••••••• G••••• L••	Independent wealth	Nov 22, 2013	n/a	yes	JACKSONVILLE, FL	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	S•••••• W••••• M••••••••• G••••• L••	Jul 14, 2026	Nov 22, 2013	-4,617	Firm change after gap	Other

Relationships

Registered with (3)

→ M••••• W••••• M••••••••• L••Registered adviserregistration: current employment
Aug 28, 2026 to presentfactForm ADV
→ S•••••• W••••• M••••••••• G••••• L••Registered adviserregistration: current employment
Nov 22, 2013 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Jan 27, 2000 to Jul 14, 2026factForm ADV

Dated events

Occurred
Jul 14, 2026
Advisor changed firm
C••••••• L•• S•••••• left L•• F•••••••• L•• for S•••••• W••••• M••••••••• G••••• L•• (registered 2013-11-22)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e584e805-6673-646c-9730-7391afa052e2
First observed: Jan 27, 2000
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.