A••• E• S••••••

Advisor at S•••••••• A••••••• L••

SAINT JOHN, IN

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 graphsid dfx:ria:5b7f0896-5c62-21f7-ad7f-8ba3ab4924d8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Sep 7, 1993 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: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Apr 16, 1985earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• A••••••• L••	National bd RIA	Mar 31, 2025	n/a	yes	SAINT JOHN, IN	Current employment
F••••••• P••••••• A•• W•••••••• A•••••••	Former SEC adviser	Feb 21, 2023	Mar 31, 2025	no	SAINT JOHN, IN	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F••••••• P••••••• A•• W•••••••• A•••••••	S•••••••• A••••••• L••	Mar 31, 2025	Mar 31, 2025	0	Bulk transfer	Ibd to ibd
F•••• T•••• S••••••••• I•••	F••••••• P••••••• A•• W•••••••• A•••••••	Sep 22, 2022	Feb 21, 2023

Relationships

Registered with (6)

→ S•••••••• A••••••• L••Registered adviserregistration: current employment
Mar 31, 2025 to presentfactForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Feb 21, 2023 to Mar 31, 2025factForm ADV
→ F•••• T•••• S••••••••• I•••Registered adviserregistration: previous registration
Aug 18, 2021 to Sep 22, 2022factForm ADV
→ M••••• S•••••• I••••••••• M••••••••• I•••

Dated events

Occurred
Sep 22, 2022
Advisor changed firm
A••• E• S•••••• left F•••• T•••• S••••••••• I••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-02-21)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5b7f0896-5c62-21f7-ad7f-8ba3ab4924d8
First observed: Sep 7, 1993
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.