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S••••• Y•••• M•• C••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

S••••• Y•••• M•• C••

Advisor at G••••• S•••• W••••• M••••••••• L••

Encino, CA | POWELL, WY

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Search this name across graphsid dfx:ria:3f171a94-ec0a-5f11-2565-62c937689af2

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:31 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 21, 2006 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: G••••• S•••• W••••• M••••••••• 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: Nov 19, 2002earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 11derivedfrom 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
G••••• S•••• W••••• M••••••••• L••	Independent wealth	Jun 29, 2015	n/a	yes	POWELL, WY\|Encino, CA	Current employment
J••• M••••• S••••••••• L••	Wirehouse	Oct 1, 2012	Jul 7, 2015	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
J••• M••••• S••••••••• L••	G••••• S•••• W••••• M••••••••• L••	Jul 7, 2015	Jun 29, 2015	-8	Firm change	Other
C•••• I••••••••• S••••••• C••••	J••• M••••• S••••••••• L••	Oct 1, 2012

Relationships

Registered with (4)

→ G••••• S•••• W••••• M••••••••• L••Registered adviserregistration: current employment
Jun 29, 2015 to presentfactForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
Oct 1, 2012 to Jul 7, 2015factForm ADV
→ C•••• I••••••••• S••••••• C••••Registered adviserregistration: previous registration
May 2, 2009 to Oct 1, 2012factForm ADV
→ W••• I••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3f171a94-ec0a-5f11-2565-62c937689af2
First observed: Jul 21, 2006
Last observed: Sep 15, 2026 7 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.