A••••••• I••••

Advisor at S•••••••• A••••••• L••

SANTA CLARITA, 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:87df0a90-3b0c-a6c3-999c-60863cd99a60

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Oct 4, 2011 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•••••••• A••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Oct 3, 2011earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 0derivedfrom 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	Apr 10, 2026	n/a	yes	SANTA CLARITA, CA	Current employment
K•••••	Asset manager	Nov 24, 2025	Feb 12, 2026	no	IRVINE, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
K•••••	S•••••••• A••••••• L••	Feb 12, 2026	Apr 10, 2026	57	Firm change	Other
J••• M••••• P•••••• W••••• A••••••• L••	J••• M••••• S••••••••• L••	Jan 13, 2025	May 28, 2024

Team moves

••• Locked

Team	Left	Joined	From	Kind
108559:79:CA:2025-01-06	Jan 13, 2025	May 28, 2024	LOS ANGELES, CA	Firm change after gap

Relationships

Registered with (6)

→ S•••••••• A••••••• L••Registered adviserregistration: current employment
Apr 10, 2026 to presentfactForm ADV
→ K•••••Registered adviserregistration: previous registration
Nov 24, 2025 to Feb 12, 2026factForm ADV
→ J••• M••••• P•••••• W••••• A••••••• L••Registered adviserregistration: previous registration
Sep 19, 2016 to Jan 13, 2025factForm ADV
→ J••• M••••• S••••••••• L••

Dated events

Occurred
Feb 12, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 12, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:87df0a90-3b0c-a6c3-999c-60863cd99a60
First observed: Oct 4, 2011
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.