S••••• R• P••••

Advisor at S•••••••• A••••••• L••

NEWTOWN, CT

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:385d7c17-e8c6-1912-8273-180d97776c04

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: May 25, 2018 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•••••••• A••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Aug 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• A••••••• L••	National bd RIA	Jun 9, 2026	n/a	yes	NEWTOWN, CT	Current employment
M•• I•••••••• S•••••••• L••	Bd affiliated wealth	Aug 19, 2019	Mar 25, 2022	no	ELMSFORD, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•• I•••••••• S•••••••• L••	S•••••••• A••••••• L••	Mar 25, 2022	Jun 9, 2026	1,537	Firm change after gap	Ibd to ibd
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	M•• I•••••••• S•••••••• L••	Sep 6, 2018	Aug 19, 2019

Relationships

Registered with (3)

→ S•••••••• A••••••• L••Registered adviserregistration: current employment
Jun 9, 2026 to presentfactForm ADV
→ M•• I•••••••• S•••••••• L••Registered adviserregistration: previous registration
Aug 19, 2019 to Mar 25, 2022factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
May 25, 2018 to Sep 6, 2018factForm ADV

Dated events

Occurred
Mar 25, 2022
Advisor changed firm
S••••• R• P•••• left M•• I•••••••• S•••••••• L•• for S•••••••• A••••••• L•• (registered 2026-06-09)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:385d7c17-e8c6-1912-8273-180d97776c04
First observed: May 25, 2018
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.