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A•••• L• 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•••• L• S••••••

Advisor at P•••••••• S••••••••• I•••

PHOENIX, AZ

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Search this name across graphsid dfx:ria:5210bec9-ae19-6a12-b912-fd3277e3b99f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Apr 4, 2016 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: P•••••••• S••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 0derivedfrom 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
P•••••••• S••••••••• I•••	Bd affiliated wealth	Jun 12, 2026	n/a	yes	PHOENIX, AZ	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Mar 30, 2023	Jun 26, 2026	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
L•• F•••••••• L••	P•••••••• S••••••••• I•••	Jun 26, 2026	Jun 12, 2026	-14	Firm change	Ibd to ibd
S•••••• W••••• P•••••••• L••	L•• F•••••••• L••	Mar 13, 2023

Relationships

Registered with (4)

→ P•••••••• S••••••••• I•••Registered adviserregistration: previous registration
Apr 4, 2016 to Jul 12, 2017factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Mar 30, 2023 to Jun 26, 2026factForm ADV
→ S•••••• W••••• P•••••••• L••Registered adviserregistration: previous registration
Aug 16, 2018 to Mar 13, 2023factForm ADV
→ C•••••• S••••• • C••• I•••

Dated events

Occurred
Jun 26, 2026
Advisor changed firm
A•••• L• S•••••• left L•• F•••••••• L•• for P•••••••• S••••••••• I••• (registered 2026-06-12)
Form ADVobserved 7 days ago
Occurred
Mar 13, 2023
Advisor changed firm
A•••• L• S•••••• left S•••••• W••••• P•••••••• L•• for L•• F•••••••• L•• (registered 2023-03-30)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5210bec9-ae19-6a12-b912-fd3277e3b99f
First observed: Apr 4, 2016
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.