DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)35 years in industry

T••••• S•••••• C•••••

Advisor at A••••••••• F•••••••• S•••••••• L••

Marathon, FL

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Search this name across graphsid dfx:ria:f46b1ba7-3d87-4c39-f701-39f1ec959659

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jun 27, 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Mar 12, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Jun 25, 2018	n/a	yes	Marathon, FL\|Marathon, FL	Current employment
I••••••••• P••••••••• I•••	Former SEC adviser	Mar 19, 2012	Sep 24, 2018	no	SAN ANTONIO, TX\|GALLATIN, TN\|Springfield, TN\|Big Pine, FL\|Fort Lauderdale, FL\|Isla Morada, FL\|Key Largo, FL\|Key West, FL\|Key West, FL\|Key West, FL\|Marathon, FL\|Marathon, FL\|Danville, KY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I••••••••• P••••••••• I•••	A••••••••• F•••••••• S•••••••• L••	Sep 24, 2018	Jun 25, 2018	-91	Bulk transfer	Ibd to ibd
A••••••••• F•••••••• S•••••••• L••	I••••••••• P••••••••• I•••	Mar 23, 2012	Mar 19, 2012

Relationships

Registered with (5)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Jun 9, 2008 to Mar 23, 2012factForm ADV
→ I••••••••• P••••••••• I•••Registered adviserregistration: previous registration
Mar 19, 2012 to Sep 24, 2018factForm ADV
→ S••••••• I••••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jul 25, 2005 to Jun 24, 2008factForm ADV
→ B••• O• A•••••• I••••••••• S•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f46b1ba7-3d87-4c39-f701-39f1ec959659
First observed: Jun 27, 2001
Last observed: Sep 14, 2026 9 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.