DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

S•••• L•••• J••••••

Advisor at S•••••••• A••••••• S•••••••

MEMPHIS, TN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:0dbcf93a-7dc2-0bd6-52b0-3d34a349d7f7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Apr 5, 2006 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••••••• S•••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Mar 19, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• A••••••• S•••••••	I•••••••••_WEALTH	Aug 3, 2022	n/a	yes	MEMPHIS, TN	Current employment
W••••••••• A••••••• P••••••• L••	Bd affiliated wealth	Jun 20, 2019	Aug 2, 2022	no	WEST CHESTER, PA\|Memphis, TN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W••••••••• A••••••• P••••••• L••	S•••••••• A••••••• S•••••••	Aug 2, 2022	Aug 3, 2022	1	Firm change	RIA to RIA
I••••••••• F•••••••• P•••••••	W••••••••• A••••••• P••••••• L••	May 2, 2019	Jun 20, 2019

Team moves

••• Locked

Team	Left	Joined	From	Kind
125112:171976:TN:2019-05-02	May 2, 2019	Jun 20, 2019	MEMPHIS, TN	Firm change

Relationships

Registered with (6)

→ S•••••••• A••••••• S•••••••Registered adviserregistration: current employment
Aug 3, 2022 to presentfactForm ADV
→ W••••••••• A••••••• P••••••• L••Registered adviserregistration: previous registration
Jun 20, 2019 to Aug 2, 2022factForm ADV
→ I••••••••• F•••••••• P•••••••Registered adviserregistration: previous registration
Oct 21, 2015 to May 2, 2019factForm ADV
→ R•••••• J•••• • A••••••••• I•••

Dated events

Occurred
Aug 2, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0dbcf93a-7dc2-0bd6-52b0-3d34a349d7f7
First observed: Apr 5, 2006
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.