DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

S••••• R••••••• S•••••••••

Advisor at S•••••••• A•••••••• L••

Westlake Village, CA

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Search this name across graphsid dfx:ria:3bd81465-0380-db65-a876-6fb46480e1dd

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:21 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Mar 26, 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: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 1, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• A•••••••• L••	Bd affiliated wealth	Jun 12, 2026	n/a	yes	Westlake Village, CA	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Dec 17, 2021	Jun 17, 2026	no	WESTLAKE VILLAGE, CA\|WESTLAKE VILLAGE, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	S•••••••• A•••••••• L••	Jun 17, 2026	Jun 12, 2026	-5	Firm change	Wirehouse to ibd
M••••• S••••••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Dec 3, 2021	Dec 17, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
7691:226606:CA:2026-06-15	Jun 17, 2026	Jun 12, 2026	WESTLAKE VILLAGE, CA	Firm change
149777:7691:CA:2021-12-03	Dec 3, 2021	Dec 17, 2021	WESTLAKE VILLAGE, CA	Firm change

Relationships

Registered with (3)

→ S•••••••• A•••••••• L••Registered adviserregistration: current employment
Jun 12, 2026 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Dec 17, 2021 to Jun 17, 2026factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jan 24, 2020 to Dec 3, 2021factForm ADV

Dated events

Occurred
Jun 17, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3bd81465-0380-db65-a876-6fb46480e1dd
First observed: Mar 26, 2018
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.