DFX Intelligence

S•••••• J•••• D•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

S•••••• J•••• D•••••

Advisor at S•••••• W••••• P•••••••• L••

Avon, OH

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Search this name across graphsid dfx:ria:f2280340-25ad-082d-2a0b-0c0498dafab6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Apr 12, 2010 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•••••• W••••• P•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 11, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• W••••• P•••••••• L••	Bd affiliated wealth	Mar 4, 2025	n/a	yes	Avon, OH	Current employment
S•••••••• I••••••••• S••••••••• I•••	Independent wealth	Jun 10, 2021	May 29, 2025	no	ORLAND PARK, IL\|Avon, OH

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••••• I••••••••• S••••••••• I•••	S•••••• W••••• P•••••••• L••	May 29, 2025	Mar 4, 2025	-86	Firm change after gap	RIA to ibd
C••••• A•••••• N••••••• L••	S•••••••• I••••••••• S••••••••• I•••	Jun 4, 2021	Jun 10, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
143128:153184:OH:2025-05-29	May 29, 2025	Mar 4, 2025	AVON, OH	Firm change after gap

Relationships

Registered with (4)

→ S•••••• W••••• P•••••••• L••Registered adviserregistration: current employment
Mar 4, 2025 to presentfactForm ADV
→ S•••••••• I••••••••• S••••••••• I•••Registered adviserregistration: previous registration
Jun 10, 2021 to May 29, 2025factForm ADV
→ C••••• A•••••• N••••••• L••Registered adviserregistration: previous registration
Mar 5, 2012 to Jun 4, 2021factForm ADV
→ O•••• W•••••• I•••

Dated events

Occurred
May 29, 2025
A•••••• firm change
S•••••• J•••• D••••• left S•••••••• I••••••••• S••••••••• I••• for S•••••• W••••• P•••••••• L•• (registered 2025-03-04)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f2280340-25ad-082d-2a0b-0c0498dafab6
First observed: Apr 12, 2010
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.