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

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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

S••••• L••••• S••••

Advisor at S••••• A••••••• I•••

CARMI, IL | BIRMINGHAM, AL

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Search this name across graphsid dfx:ria:7dfaa3ac-eb0a-fd07-b0cd-8120dcfa194e

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Dec 4, 1997 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••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 22, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 6derivedfrom 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
S••••• A••••••• I•••	Bd affiliated wealth	Jan 23, 2020	n/a	yes	CARMI, IL\|BIRMINGHAM, AL	Current employment
Q•••• C•••••• S••••••••• I•••	Former SEC adviser	May 1, 2018	Dec 23, 2019	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
Q•••• C•••••• S••••••••• I•••	S••••• A••••••• I•••	Dec 23, 2019	Jan 23, 2020	31	Bulk transfer	RIA to ibd
I••••••••• F•••••••• A•••••••	Q•••• C•••••• S••••••••• I•••	Jan 2, 2018

Relationships

Registered with (7)

→ S••••• A••••••• I•••Registered adviserregistration: current employment
Jan 23, 2020 to presentfactForm ADV
→ Q•••• C•••••• S••••••••• I•••Registered adviserregistration: previous registration
May 1, 2018 to Dec 23, 2019factForm ADV
→ I••••••••• F•••••••• A•••••••Registered adviserregistration: previous registration
Nov 21, 2016 to Jan 2, 2018factForm ADV
→ F•••••••• W••• G••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7dfaa3ac-eb0a-fd07-b0cd-8120dcfa194e
First observed: Dec 4, 1997
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.