DFX Intelligence

D•••• S••••• F••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor36 years in industry

D•••• S••••• F••••••

Advisor at S••••••••• P•••••••• A••••••• L••

LOS ANGELES, CA

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Search this name across graphsid dfx:ria:1ba766d3-c19d-4eb6-6200-37c07cac2a97

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Nov 20, 2013 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••••••••• P•••••••• A••••••• L••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Jan 1, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••••••• P•••••••• A••••••• L••	State registered	Apr 10, 2025	n/a	yes	LOS ANGELES, CA	Current employment
A••••••• W••••• E•••••••••	Independent wealth	Nov 20, 2013	Mar 27, 2015	no	LAS VEGAS, NV	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••••• W••••• E•••••••••	S••••••••• P•••••••• A••••••• L••	Mar 27, 2015	Apr 10, 2025	3,667	Firm change after gap	Other

Relationships

Registered with (2)

→ S••••••••• P•••••••• A••••••• L••Registered adviserregistration: current employment
Apr 10, 2025 to presentfactForm ADV
→ A••••••• W••••• E•••••••••Registered adviserregistration: previous registration
Nov 20, 2013 to Mar 27, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1ba766d3-c19d-4eb6-6200-37c07cac2a97
First observed: Nov 20, 2013
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.