DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

A•• S••••••••• S••••

Advisor at S•••••• P••••••• I••••••••• A•••••••• L••

Dallas, TX | STAMFORD, CT

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:764d2deb-156c-8cf8-8e0e-f3b42a33bcf1

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Oct 23, 2002 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•••••• P••••••• I••••••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Apr 1, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• P••••••• I••••••••• A•••••••• L••	Bd affiliated wealth	Jul 16, 2019	n/a	yes	Dallas, TX\|STAMFORD, CT	Current employment
J••• M••••• S••••••••• L••	Wirehouse	Oct 23, 2002	Jul 18, 2019	no	DALLAS, TX\|DALLAS, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
J••• M••••• S••••••••• L••	S•••••• P••••••• I••••••••• A•••••••• L••	Jul 18, 2019	Jul 16, 2019	-2	Firm change	Wirehouse to RIA

Team moves

••• Locked

Team	Left	Joined	From	Kind
79:283004:TX:2019-07-16	Jul 18, 2019	Jul 16, 2019	DALLAS, TX	Firm change

Relationships

Registered with (2)

→ S•••••• P••••••• I••••••••• A•••••••• L••Registered adviserregistration: current employment
Jul 16, 2019 to presentfactForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
Oct 23, 2002 to Jul 18, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:764d2deb-156c-8cf8-8e0e-f3b42a33bcf1
First observed: Oct 23, 2002
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.