O•••••• D••••••

Advisor at S•••••••• A••••••• L••

CHARLOTTE, NC | HUNTERSVILLE, NC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphs

Data as of Sep 16, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Nov 5, 2024 to Sep 16, 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: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Mar 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• A••••••• L••	National bd RIA	Sep 3, 2025	n/a	yes	CHARLOTTE, NC\|HUNTERSVILLE, NC	Current employment
F••••••• P••••••• A•• W•••••••• A•••••••	Former SEC adviser	Nov 5, 2024	Mar 31, 2025	no	SELKIRK, NY\|ALBANY, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F••••••• P••••••• A•• W•••••••• A•••••••	S•••••••• A••••••• L••	Mar 31, 2025	Sep 3, 2025	156	Bulk transfer	Ibd to ibd

Relationships

Registered with (2)

→ S•••••••• A••••••• L••Registered adviserregistration: current employment
Sep 3, 2025 to presentfactForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Nov 5, 2024 to Mar 31, 2025factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 5, 2024
Last observed: Sep 16, 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.