P•• S••• N•

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

Los Angeles, CA | Durham, NC

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:10bddb48-1b97-75d1-50ee-4438171a5688

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 26, 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Mar 24, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Oct 28, 2011	n/a	yes	Los Angeles, CA\|Durham, NC	Current employment
M••••• S••••••	Wirehouse	Jun 1, 2009	Nov 7, 2011	no	BEVERLY HILLS, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	A••••••••• F•••••••• S•••••••• L••	Nov 7, 2011	Oct 28, 2011	-10	Firm change	Wirehouse to ibd
M••••• S•••••• • C•• L••	M••••• S••••••	Jun 1, 2009	Jun 1, 2009

Relationships

Registered with (4)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Oct 28, 2011 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to Nov 7, 2011factForm ADV
→ M••••• S•••••• • C•• L••Registered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ M••••• S•••••• D• I•••Registered adviserregistration: previous registration

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:10bddb48-1b97-75d1-50ee-4438171a5688
First observed: Apr 26, 2004
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.