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S•••• M•••••• O•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor42 years in industry

S•••• M•••••• O•••

Advisor at S••••••• C••••••••• W••••• M••••••••• A•••••••••

Woodland Hills, CA | ROLLING HILLS ESTATES, CA

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Search this name across graphsid dfx:ria:2c0c52f7-73f9-8e97-9148-5f986127c455

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jul 8, 1997 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••••••• C••••••••• W••••• M••••••••• A•••••••••
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 3, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 0derivedfrom 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••••••••• W••••• M••••••••• A•••••••••	State registered	Mar 11, 2026	n/a	yes	Woodland Hills, CA\|ROLLING HILLS ESTATES, CA	Current employment
E•••••• E••••• L••	Bd affiliated wealth	Sep 10, 2019	Feb 9, 2026	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
E•••••• E••••• L••	S••••••• C••••••••• W••••• M••••••••• A•••••••••	Feb 9, 2026	Mar 11, 2026	30	Firm change	Ibd to state RIA
S••••••••• W••••• M••••••••• L••	E•••••• E••••• L••	Sep 4, 2019

Relationships

Registered with (6)

→ S••••••• C••••••••• W••••• M••••••••• A•••••••••Registered adviserregistration: current employment
Mar 11, 2026 to presentfactForm ADV
→ E•••••• E••••• L••Registered adviserregistration: previous registration
Sep 10, 2019 to Feb 9, 2026factForm ADV
→ S••••••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Jun 18, 2014 to Sep 4, 2019factForm ADV
→ S••••••••• W••••• M••••••••• L••

Dated events

Occurred
Feb 9, 2026
Advisor changed firm
S•••• M•••••• O••• left E•••••• E••••• L•• for S••••••• C••••••••• W••••• M••••••••• A••••••••• (registered 2026-03-11)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2c0c52f7-73f9-8e97-9148-5f986127c455
First observed: Jul 8, 1997
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.