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

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RIA / WealthAdvisor50 years in industry

W•••• N••••• S•••••••

Advisor at S•••••••• F•••••••• C•••••••• L••

AUSTIN, TX

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Search this name across graphsid dfx:ria:3da41e43-96eb-9cee-192e-fc90b87e2d0a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 8, 2004 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•••••••• F•••••••• C•••••••• L••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 1, 1976earliest registration or exam on IAPD
Years in industry: 50derivedfrom the industry start date
Years at current firm: 15derivedfrom 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•••••••• F•••••••• C•••••••• L••	Independent wealth	Jun 17, 2011	n/a	yes	AUSTIN, TX	Current employment
C••••• A••••••• G••••• I•••	Former SEC adviser	Jan 20, 2009	Jun 1, 2011	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
C••••• A••••••• G••••• I•••	S•••••••• F•••••••• C•••••••• L••	Jun 1, 2011	Jun 17, 2011	16	Firm change	Other
S•••••••• F•••••••• C•••••••• L••	C••••• A••••••• G••••• I•••	Nov 13, 2008

Relationships

Registered with (3)

→ S•••••••• F•••••••• C•••••••• L••Registered adviserregistration: previous registration
Aug 24, 2007 to Nov 13, 2008factForm ADV
→ C••••• A••••••• G••••• I•••Registered adviserregistration: previous registration
Jan 20, 2009 to Jun 1, 2011factForm ADV
→ T••••••••• F•••••••• A•••••••• L••Registered adviserregistration: previous registration
Apr 8, 2004 to Aug 29, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3da41e43-96eb-9cee-192e-fc90b87e2d0a
First observed: Apr 8, 2004
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.