DFX Intelligence

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

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RIA / WealthAdvisor30 years in industry

L••••••• A••••••• W••••••

Advisor at S••••• T•••• A•••••••• L••

WAYZATA, MN | NEW YORK, NY

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Search this name across graphsid dfx:ria:71f215ae-a79a-b001-8dd3-73daf0c84e14

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jun 29, 2012 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••••• T•••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Sep 10, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• T•••• A•••••••• L••	Independent wealth	Dec 9, 2025	n/a	yes	NEW YORK, NY\|WAYZATA, MN	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Sep 9, 2015	Oct 3, 2025	no	S•••••, NJ\|WAYZATA, MN\|WAYZATA, MN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	S••••• T•••• A•••••••• L••	Oct 3, 2025	Dec 9, 2025	67	Firm change	Wirehouse to RIA
M••••• S••••••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Sep 15, 2015	Sep 9, 2015

Team moves

••• Locked

Team	Left	Joined	From	Kind
149777:7691:NJ:2015-09-15	Sep 15, 2015	Sep 9, 2015	SHORT HILLS, NJ	Firm change

Relationships

Registered with (3)

→ S••••• T•••• A•••••••• L••Registered adviserregistration: current employment
Dec 9, 2025 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Sep 9, 2015 to Oct 3, 2025factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 29, 2012 to Sep 15, 2015factForm ADV

Dated events

Occurred
Oct 3, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:71f215ae-a79a-b001-8dd3-73daf0c84e14
First observed: Jun 29, 2012
Last observed: Sep 14, 2026 9 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.