DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)31 years in industry

R••••• L••••••• W•••••••

Advisor at S••••• A•••••••• L••

Woodland Hills, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Oct 12, 2004 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••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jun 29, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom 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••••• A•••••••• L••	Independent wealth	Sep 24, 2024	n/a	yes	Woodland Hills, CA	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Nov 29, 2017	Apr 13, 2018	no	WOODLAND HILLS, CA\|TORRANCE, CA\|WOODLAND HILLS, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T•••••• C••••••• I•••	L•• F•••••••• L••	Sep 24, 2024	Nov 29, 2017	-2,491	Firm change after gap	RIA to RIA
L•• F•••••••• L••	S••••• A•••••••• L••	Apr 13, 2018	Sep 24, 2024

Team moves

••• Locked

Team	Left	Joined	From	Kind
6413:329415:CA:2018-04-13	Apr 13, 2018	Sep 24, 2024	WOODLAND HILLS, CA	Firm change after gap
29604:281597:CA:2017-11-29	Nov 29, 2017	Jan 13, 2016	TORRANCE, CA	Firm change after gap

Relationships

Registered with (4)

→ S••••• A•••••••• L••Registered adviserregistration: current employment
Sep 24, 2024 to presentfactForm ADV
→ T•••••• C••••••• I•••Registered adviserregistration: previous registration
Jan 13, 2016 to Sep 24, 2024factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Nov 29, 2017 to Apr 13, 2018factForm ADV
→ N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••

Dated events

Order

Occurred
24 Sep 2024
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Oct 12, 2004
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.