DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

R•••••• C••••• L••••

Advisor at S•••••••• A•••••••• L••

McAllen, TX | MIAMI, FL

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Search this name across graphsid dfx:ria:544d1a5a-4b32-5916-105e-6160af89a884

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jan 27, 2005 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: Apr 29, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• A•••••••• L••	Bd affiliated wealth	Jun 11, 2021	n/a	yes	MIAMI, FL\|McAllen, TX	Current employment
W•••• F•••• A•••••••	Wirehouse	Jan 3, 2011	Jun 17, 2021	no	LAREDO, TX\|LAREDO, TX\|LAREDO, TX\|MISSION, TX\|MCALLEN, TX\|LAREDO, TX\|SAN ANTONIO, TX\|EL PASO, TX\|DONNA, TX\|SAN ANTONIO, TX\|AUSTIN, TX\|BROWNSVILLE, TX\|SAN ANTONIO, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	S•••••••• A•••••••• L••	Jun 17, 2021	Jun 11, 2021	-6	Firm change	Wirehouse to ibd
W•••• F•••• I••••••••• L••	W•••• F•••• A•••••••	Jan 3, 2011	Jan 3, 2011

Team moves

••• Locked

Team	Left	Joined	From	Kind
19616:226606:TX:2021-06-17	Jun 17, 2021	Jun 11, 2021	SAN ANTONIO, TX	Firm change

Relationships

Registered with (3)

→ S•••••••• A•••••••• L••Registered adviserregistration: current employment
Jun 11, 2021 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jan 3, 2011 to Jun 17, 2021factForm ADV
→ W•••• F•••• I••••••••• L••Registered adviserregistration: previous registration
Jan 27, 2005 to Jan 3, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:544d1a5a-4b32-5916-105e-6160af89a884
First observed: Jan 27, 2005
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.