DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)25 years in industry

R••••• P•••••• W•••

Advisor at L••••••• S••••••••• C••••

Ocala, FL | New Port Richey, FL

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Search this name across graphsid dfx:ria:f01d875b-9a92-01f7-d6be-02d1516385c0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Aug 9, 2001 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: L••••••• S••••••••• C••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 30, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L••••••• S••••••••• C••••	Bd affiliated wealth	Nov 5, 2018	n/a	yes	New Port Richey, FL\|Ocala, FL	Current employment
F•••••••• E••••• S•••••••• I•••	Former SEC adviser	Oct 29, 2010	Nov 8, 2018	no	NEW PORT RICHEY, FL\|OLDSMAR, FL\|SAN DIEGO, CA\|OCALA, FL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••••••• E••••• S•••••••• I•••	L••••••• S••••••••• C••••	Nov 8, 2018	Nov 5, 2018	-3	Firm change	Ibd to RIA
W••••••• F•••••••• S•••••••• I•••	F•••••••• E••••• S•••••••• I•••	Oct 19, 2010	Oct 29, 2010

Team moves

••• Locked

Team	Left	Joined	From	Kind
18464:16204:FL:2018-10-29	Nov 8, 2018	Nov 5, 2018	OCALA, FL	Firm change

Relationships

Registered with (4)

→ L••••••• S••••••••• C••••Registered adviserregistration: current employment
Nov 5, 2018 to presentfactForm ADV
→ F•••••••• E••••• S•••••••• I•••Registered adviserregistration: previous registration
Oct 29, 2010 to Nov 8, 2018factForm ADV
→ W••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Apr 15, 2005 to Oct 19, 2010factForm ADV
→ E•••••••• A•••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f01d875b-9a92-01f7-d6be-02d1516385c0
First observed: Aug 9, 2001
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.