DFX Intelligence

L•••••• G••••• M•••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)36 years in industry

L•••••• G••••• M•••••••••

Advisor at S•••••• C•••••• A••••••• L••

NEW YORK, NY | Pasadena, CA

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Search this name across graphsid dfx:ria:3d16c279-0ad9-a58e-ff5d-aa7f6e2d16ab

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jan 11, 1996 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•••••• C•••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Nov 10, 1989earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• C•••••• A••••••• L••	Bd affiliated wealth	Jan 12, 2015	n/a	yes	NEW YORK, NY\|Pasadena, CA	Current employment
S•••••• C•••••• A••••••• L••	Bd affiliated wealth	Jun 4, 2014	Dec 31, 2014	no	NEW YORK, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	S•••••• C•••••• A••••••• L••	May 12, 2014	Jun 4, 2014	23	Firm change	Other

Relationships

Registered with (2)

→ S•••••• C•••••• A••••••• L••Registered adviserregistration: previous registration
Jun 4, 2014 to Dec 31, 2014factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Jan 11, 1996 to May 12, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3d16c279-0ad9-a58e-ff5d-aa7f6e2d16ab
First observed: Jan 11, 1996
Last observed: Sep 15, 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.