R••••• M•••••

Advisor at S••• W••••• L••

COTTONWOOD HEIGHTS, UT | SAN FRANCISCO, CA

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:702717e3-69d0-6e59-a91f-737228ba340d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Jul 3, 2014 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••• W••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 1, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••• W••••• L••	Bd affiliated wealth	Sep 29, 2025	n/a	yes	COTTONWOOD HEIGHTS, UT\|SAN FRANCISCO, CA	Current employment
M••••• S••••••	Wirehouse	Nov 8, 2023	Jun 12, 2025	no	Sandy, UT	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	S••• W••••• L••	Jun 12, 2025	Sep 29, 2025	109	Firm change	Wirehouse to ibd
W•••• F•••• A•••••••	M••••• S••••••	Nov 8, 2023	Nov 8, 2023

Relationships

Registered with (4)

→ S••• W••••• L••Registered adviserregistration: current employment
Sep 29, 2025 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Nov 8, 2023 to Jun 12, 2025factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Apr 24, 2023 to Nov 8, 2023factForm ADV
→ E•••••• C•••••• M••••••••• L••

Dated events

Occurred
Jun 12, 2025
Advisor changed firm
R••••• M••••• left M••••• S•••••• for S••• W••••• L•• (registered 2025-09-29)
Form ADVobserved 7 days ago
Occurred
Nov 8, 2023
Advisor changed firm
R••••• M••••• left W•••• F•••• A••••••• for M••••• S•••••• (registered 2023-11-08)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:702717e3-69d0-6e59-a91f-737228ba340d
First observed: Jul 3, 2014
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.