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

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

S•••••• L•••••

Advisor at D•••••••• W••••• M••••••••• L••

Charlotte, NC | SOUTH JORDAN, UT

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Search this name across graphsid dfx:ria:71d950bc-ba05-a840-9900-a56b5ce0bbc6

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Oct 17, 2022 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: D•••••••• W••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 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

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
D•••••••• W••••• M••••••••• L••	Independent wealth	Feb 26, 2025	n/a	yes	Charlotte, NC\|SOUTH JORDAN, UT	Current employment
S•••••• N••••••• • C••••••• I•••••••••	National bd RIA	Oct 17, 2022	Feb 27, 2025	no

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
S•••••• N••••••• • C••••••• I•••••••••	D•••••••• W••••• M••••••••• L••	Feb 27, 2025	Feb 26, 2025	-1	Firm change	Ibd to RIA

Relationships

Registered with (2)

→ D•••••••• W••••• M••••••••• L••Registered adviserregistration: current employment
Feb 26, 2025 to presentfactForm ADV
→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: previous registration
Oct 17, 2022 to Feb 27, 2025factForm ADV

Dated events

Occurred
Feb 27, 2025
Advisor changed firm
S•••••• L••••• left S•••••• N••••••• • C••••••• I••••••••• for D•••••••• W••••• M••••••••• L•• (registered 2025-02-26)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:71d950bc-ba05-a840-9900-a56b5ce0bbc6
First observed: Oct 17, 2022
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.