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A••••• W• S••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

A••••• W• S••••

Advisor at S•••••••• A••••••• L••

AUSTIN, TX

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Search this name across graphsid dfx:ria:38c077ca-7c30-51b6-bfc2-33d8f0131210

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Apr 19, 2022 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom 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
S•••••••• A••••••• L••	National bd RIA	Mar 31, 2025	n/a	yes	AUSTIN, TX\|AUSTIN, TX	Current employment
F••••••• P••••••• A•• W•••••••• A•••••••	Former SEC adviser	Dec 16, 2022	Mar 31, 2025	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
F••••••• P••••••• A•• W•••••••• A•••••••	S•••••••• A••••••• L••	Mar 31, 2025	Mar 31, 2025	0	Bulk transfer	Ibd to ibd
C•••••••• I••••••••• R••••••• A•••••••• I•••	F••••••• P••••••• A•• W•••••••• A•••••••	Nov 18, 2022

Relationships

Registered with (3)

→ S•••••••• A••••••• L••Registered adviserregistration: current employment
Mar 31, 2025 to presentfactForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Dec 16, 2022 to Mar 31, 2025factForm ADV
→ C•••••••• I••••••••• R••••••• A•••••••• I•••Registered adviserregistration: previous registration
Apr 19, 2022 to Nov 18, 2022factForm ADV

Dated events

Occurred
Nov 18, 2022
Advisor changed firm
A••••• W• S•••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-12-16)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:38c077ca-7c30-51b6-bfc2-33d8f0131210
First observed: Apr 19, 2022
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.