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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)44 years in industry

T•••••• S••••• M•••••

Advisor at A•••• W••••• M•••••••••

Doylestown, PA

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Search this name across graphsid dfx:ria:fd663294-a309-f41e-6b2e-55d41d0f231c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Jan 21, 1999 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•••• 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: Mar 5, 1982earliest registration or exam on IAPD
Years in industry: 44derivedfrom the industry start date
Years at current firm: 9derivedfrom 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
A•••• W••••• M•••••••••	Independent wealth	Jan 3, 2017	n/a	yes	Doylestown, PA	Current employment
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Nov 12, 2020	Oct 3, 2023	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
C••••• I••••••••• A••••••• L••	n/a	Oct 3, 2023	n/a	n/a	Departure no registered destination	Departure
F•••• A••••• A••••••• S•••••••• I•••	A•••• W••••• M•••••••••	Nov 12, 2020	Jun 10, 2013

Relationships

Registered with (6)

→ A•••• W••••• M•••••••••Registered adviserregistration: previous registration
Jun 10, 2013 to Dec 31, 2016factForm ADV
→ C••••• I••••••••• A••••••• L••Registered adviserregistration: previous registration
Nov 12, 2020 to Oct 3, 2023factForm ADV
→ F•••• A••••• A••••••• S•••••••• I•••Registered adviserregistration: previous registration
Apr 29, 2013 to Nov 12, 2020factForm ADV
→ M••••••• W••••• M•••••••••

Dated events

Occurred
Oct 3, 2023
Advisor departed, no destination yet
T•••••• S••••• M••••• no longer registered at C••••• I••••••••• A••••••• L••; no later IA registration on IAPD
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fd663294-a309-f41e-6b2e-55d41d0f231c
First observed: Jan 21, 1999
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.