DFX Intelligence

O••••• V• Y•••••••••: advisor on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

O••••• V• Y•••••••••

Advisor at S•••••••• A••••••• L••

MOUNTAIN VIEW, CA | PALO ALTO, 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:7470b620-1390-3504-0779-5f56f5f2304b

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Mar 12, 2012 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: Mar 10, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• A••••••• L••	National bd RIA	Mar 31, 2025	n/a	yes	MOUNTAIN VIEW, CA\|PALO ALTO, CA	Current employment
F••••••• P••••••• A•• W•••••••• A•••••••	Former SEC adviser	Sep 19, 2023	Mar 31, 2025	no	PALO ALTO, CA

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
S•••••• V••••• C•••••• P•••••••• L•••	F••••••• P••••••• A•• W•••••••• A•••••••	Jun 27, 2023	Sep 19, 2023

Relationships

Registered with (4)

→ S•••••••• A••••••• L••Registered adviserregistration: previous registration
Mar 16, 2017 to Jul 13, 2018factForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Sep 19, 2023 to Mar 31, 2025factForm ADV
→ S•••••• V••••• C•••••• P•••••••• L•••Registered adviserregistration: previous registration
Mar 22, 2021 to Jun 27, 2023factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

Occurred
Jun 27, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7470b620-1390-3504-0779-5f56f5f2304b
First observed: Mar 12, 2012
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.