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

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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

S••• J••••• C••••

Advisor at L•• E••••••••• L••

PLANO, TX

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Search this name across graphsid dfx:ria:18c415ae-a2b9-f775-af4f-067fdf1c4849

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 2
On other graphs: 0
Observed: Oct 20, 1998 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: L•• E••••••••• 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: Jun 20, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom 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
L•• E••••••••• L••	Bd affiliated wealth	Nov 14, 2024	n/a	yes	PLANO, TX	Current employment
P•••• S••••••••• L••	No RAUM reported	Dec 5, 2023	Nov 14, 2024	no	AUSTIN, TX\|Austin, TX\|HOUSTON, TX\|Houston, TX\|Austin, TX

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
P•••• S••••••••• L••	L•• E••••••••• L••	Nov 14, 2024	Nov 14, 2024	0	Bulk transfer	Ibd to new firm
A• W••••• M••••••••• L••	P•••• S••••••••• L••	Nov 10, 2023

Relationships

Registered with (9)

→ L•• E••••••••• L••Registered adviserregistration: current employment
Nov 14, 2024 to presentfactForm ADV
→ P•••• S••••••••• L••Registered adviserregistration: previous registration
Dec 5, 2023 to Nov 14, 2024factForm ADV
→ A• W••••• M••••••••• L••Registered adviserregistration: previous registration
Jun 15, 2023 to Nov 10, 2023factForm ADV
→ C••• C•••••• M••••••••• A•• R••••••• I•••

Dated events

Occurred
Nov 10, 2023
Advisor changed firm
S••• J••••• C•••• left A• W••••• M••••••••• L•• for P•••• S••••••••• L•• (registered 2023-12-05)
Form ADVobserved 7 days ago
Occurred
Sep 26, 2023
Advisor changed firm
S••• J••••• C•••• left C••• C•••••• M••••••••• A•• R••••••• I••• for A• W••••• M••••••••• L•• (registered 2023-06-15)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:18c415ae-a2b9-f775-af4f-067fdf1c4849
First observed: Oct 20, 1998
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.