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A•••••• A••••• U••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

A•••••• A••••• U••••

Advisor at S•••••• C•••••• A••••••• L••

NEW YORK, NY | Coral Gables, FL

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:15020976-534e-bc66-1b2f-18f410c71496

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: May 14, 2004 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•••••• C•••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 27, 2001earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 1derivedfrom 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
S•••••• C•••••• A••••••• L••	Bd affiliated wealth	Jan 1, 2025	n/a	yes	Coral Gables, FL\|NEW YORK, NY	Current employment
W•••• F•••• A•••••••	Wirehouse	Sep 7, 2006	Mar 8, 2021	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
W•••• F•••• A•••••••	S•••••• C•••••• A••••••• L••	Mar 8, 2021	Jan 1, 2025	1,395	Firm change after gap	Wirehouse to ibd
L••••• B••••••• I•••	W•••• F•••• A•••••••	Sep 14, 2006

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
19616:157299:FL:2021-03-08	Mar 8, 2021	Jan 1, 2025	CORAL GABLES, FL	Firm change after gap

Relationships

Registered with (3)

→ S•••••• C•••••• A••••••• L••Registered adviserregistration: current employment
Jan 1, 2025 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Sep 7, 2006 to Mar 8, 2021factForm ADV
→ L••••• B••••••• I•••Registered adviserregistration: previous registration
May 14, 2004 to Sep 14, 2006factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:15020976-534e-bc66-1b2f-18f410c71496
First observed: May 14, 2004
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.