DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner33 years in industry

C••••••••• S••• W•••••

Advisor at S••••••••• C••••••

INDEPENDENCE, MO

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Search this name across graphsid dfx:ria:edd1ba68-7a8c-faba-7c63-03af9e02ace7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Dec 13, 2005 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••••••••• C••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Aug 27, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••••••• C••••••	Independent wealth	Apr 24, 2024	n/a	yes	INDEPENDENCE, MO	Current employment
H•••••••• C•••••• A•••••••• L•••	Former SEC adviser	Nov 13, 2009	Apr 15, 2024	no	INDEPENDENCE, MO	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H•••••••• C•••••• A•••••••• L•••	S••••••••• C••••••	Apr 15, 2024	Apr 24, 2024	9	Firm change	Other
A••••• W••••• P•••••••	H•••••••• C•••••• A•••••••• L•••	Sep 8, 2008	Nov 13, 2009

Relationships

Registered with (4)

→ S••••••••• C••••••Registered adviserregistration: current employment
Apr 24, 2024 to presentfactForm ADV
→ H•••••••• C•••••• A•••••••• L•••Registered adviserregistration: previous registration
Nov 13, 2009 to Apr 15, 2024factForm ADV
→ A••••• W••••• P•••••••Registered adviserregistration: previous registration
Aug 10, 2007 to Sep 8, 2008factForm ADV
→ F•••••••• L••

Dated events

Occurred
Apr 15, 2024
Advisor changed firm
C••••••••• S••• W••••• left H•••••••• C•••••• A•••••••• L••• for S••••••••• C•••••• (registered 2024-04-24)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:edd1ba68-7a8c-faba-7c63-03af9e02ace7
First observed: Dec 13, 2005
Last observed: Sep 14, 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.