DFX Intelligence

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

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RIA / WealthAdvisor19 years in industry

L••••• S•••••• C•••••••

Advisor at S••••• T•••• A•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:0a6ca67a-3a52-6ca3-46a9-818c6601f447

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2008 to Sep 15, 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••••• T•••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Oct 2, 2006earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• T•••• A•••••••• L••	Independent wealth	Oct 14, 2015	n/a	yes	BOSTON, MA\|SAN FRANCISCO, CA\|NEW YORK, NY	Current employment
B••••••• C•••••• I•••	Former SEC adviser	Jan 21, 2009	Aug 25, 2015	no	BOSTON, MA\|SAN FRANCISCO, CA\|SAN FRANCISCO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••••••• C•••••• I•••	S••••• T•••• A•••••••• L••	Aug 25, 2015	Oct 14, 2015	50	Firm change	Other
L••••• B••••••• I•••	B••••••• C•••••• I•••	Oct 15, 2008	Jan 21, 2009

Team moves

••• Locked

Team	Left	Joined	From	Kind
19714:220519:CA:2015-08-25	Aug 25, 2015	Oct 14, 2015	SAN FRANCISCO, CA	Firm change

Relationships

Registered with (3)

→ S••••• T•••• A•••••••• L••Registered adviserregistration: current employment
Oct 14, 2015 to presentfactForm ADV
→ B••••••• C•••••• I•••Registered adviserregistration: previous registration
Jan 21, 2009 to Aug 25, 2015factForm ADV
→ L••••• B••••••• I•••Registered adviserregistration: previous registration
Mar 28, 2008 to Oct 15, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0a6ca67a-3a52-6ca3-46a9-818c6601f447
First observed: Mar 28, 2008
Last observed: Sep 15, 2026 7 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.