S•••••• T• T•

Advisor at S••••••• W••••• M••••••••• L••

Rolling Hills Estates, CA | PURCHASE, NY

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:22e4b727-76fd-4742-65c9-d480b4b870bf

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Aug 28, 2010 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••••••• W••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Oct 11, 2008earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••••• W••••• M••••••••• L••	Independent wealth	Jul 2, 2019	n/a	yes	Rolling Hills Estates, CA\|PURCHASE, NY	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Apr 24, 2013	Jul 18, 2019	no	SAN JOSE, CA\|LOS ANGELES, CA\|ROLLING HILLS ESTATES, CA\|ROLLING HILLS ESTATES, CA\|PALOS VERDES PENINSULA, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	S••••••• W••••• M••••••••• L••	Jul 18, 2019	Jul 2, 2019	-16	Firm change	Wirehouse to RIA
M••••• S••••••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	May 20, 2013	Apr 24, 2013

Relationships

Registered with (3)

→ S••••••• W••••• M••••••••• L••Registered adviserregistration: current employment
Jul 2, 2019 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Apr 24, 2013 to Jul 18, 2019factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Aug 28, 2010 to May 20, 2013factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:22e4b727-76fd-4742-65c9-d480b4b870bf
First observed: Aug 28, 2010
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.