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

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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

A••• S•••• M•••••••

Advisor at S••••• I••••••••• A•••••••• L••

ST. LOUIS, MO | ST LOUIS, MO

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Search this name across graphsid dfx:ria:5d3c16f3-2001-c1d8-ac51-38a503129261

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 2
Observed: Jul 16, 2018 to Sep 15, 2026

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

A••• S•••• M•••••••

same person, same CRD on Schedule A · confidence 95% · family precision 100%

Venture Capitalidentity

A••• S•••• M•••••••

same person, same CRD on Schedule A · confidence 95% · family precision 100%

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: S••••• I••••••••• A•••••••• L••
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 24, 1993earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 7derivedfrom 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
S••••• I••••••••• A•••••••• L••	Bd affiliated wealth	Aug 12, 2019	n/a	yes	ST. LOUIS, MO	Current employment
S•••••• N••••••• • C••••••• I•••••••••	National bd RIA	Jul 29, 2019	n/a	yes	ST LOUIS, MO

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
W•••• F•••• A•••••••	S•••••• N••••••• • C••••••• I•••••••••	Jul 23, 2019	Jul 29, 2019	6	Firm change	Wirehouse to ibd

Relationships

Registered with (3)

→ S••••• I••••••••• A•••••••• L••Registered adviserregistration: current employment
Aug 12, 2019 to presentfactForm ADV
→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: current employment
Jul 29, 2019 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jul 16, 2018 to Jul 23, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5d3c16f3-2001-c1d8-ac51-38a503129261
First observed: Jul 16, 2018
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.