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D•••••• A•••••• L••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor12 years in industry

D•••••• A•••••• L••••

Advisor at S••••• W••••• M•••••••••

Huntersville, NC | ROCKFORD, IL

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Search this name across graphsid dfx:ria:ee06b865-2d58-dded-9155-b28e1eaf5b74

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 31, 2014 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•••••••••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 30, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• W••••• M•••••••••	Independent wealth	Apr 29, 2026	n/a	yes	ROCKFORD, IL\|Huntersville, NC	Current employment
E••••••• W••••• A•••••••	Former SEC adviser	Nov 25, 2020	Apr 29, 2026	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
E••••••• W••••• A•••••••	S••••• W••••• M•••••••••	Apr 29, 2026	Apr 29, 2026	0	Bulk transfer	RIA to RIA
I••••••••• F•••••••• S•••••••• I•••	E••••••• W••••• A•••••••	Nov 6, 2020

Relationships

Registered with (4)

→ S••••• W••••• M•••••••••Registered adviserregistration: current employment
Apr 29, 2026 to presentfactForm ADV
→ E••••••• W••••• A•••••••Registered adviserregistration: previous registration
Nov 25, 2020 to Apr 29, 2026factForm ADV
→ I••••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Nov 1, 2016 to Nov 6, 2020factForm ADV
→ W•••• F•••• A•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ee06b865-2d58-dded-9155-b28e1eaf5b74
First observed: Jul 31, 2014
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.