DFX Intelligence

B•••••• R••••• O•••••••• G••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

B•••••• R••••• O•••••••• G••••••

Advisor at S•••••••• A••••••• L••

PEORIA, AZ | PHOENIX, AZ

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Search this name across graphsid dfx:ria:6876983f-c637-5e8c-6219-21f93115ffac

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Jan 31, 2023 to Sep 15, 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 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• A••••••• L••	National bd RIA	Mar 31, 2025	n/a	yes	PEORIA, AZ\|PHOENIX, AZ	Current employment
F••••••• P••••••• A•• W•••••••• A•••••••	Former SEC adviser	Aug 16, 2024	Mar 31, 2025	no	PEORIA, AZ

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
U•• F•••••••• S••••••• I•••	F••••••• P••••••• A•• W•••••••• A•••••••	Jul 24, 2024	Aug 16, 2024

Relationships

Registered with (4)

→ S•••••••• A••••••• L••Registered adviserregistration: current employment
Mar 31, 2025 to presentfactForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Aug 16, 2024 to Mar 31, 2025factForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Nov 16, 2023 to Jul 24, 2024factForm ADV
→ M••••• S••••••

Dated events

Occurred
Jul 24, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Aug 14, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6876983f-c637-5e8c-6219-21f93115ffac
First observed: Jan 31, 2023
Last observed: Sep 15, 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.