C•••••• R••••

Advisor at S••••••• W••••• M••••••••• L••

PURCHASE, NY | SAN FRANCISCO, 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:8d4c4d7e-942c-409a-d571-f545f07f4691

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Jun 7, 2006 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••••••• W••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Mar 31, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••••• W••••• M••••••••• L••	Independent wealth	Mar 5, 2024	n/a	yes	SAN FRANCISCO, CA\|PURCHASE, NY	Current employment
J••• M••••• S••••••••• L••	Wirehouse	Jan 17, 2024	Mar 7, 2024	no	SAN FRANCISCO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
J••• M••••• P•••••• W••••• A••••••• L••	J••• M••••• S••••••••• L••	Mar 8, 2024	Jan 17, 2024	-51	Channel change	Ibd to wirehouse
J••• M••••• S••••••••• L••	S••••••• W••••• M••••••••• L••	Mar 7, 2024	Mar 5, 2024

Team moves

••• Locked

Team	Left	Joined	From	Kind
7691:108559:CA:2022-11-07	Nov 7, 2022	Nov 4, 2022	SAN FRANCISCO, CA	Firm change
19616:7691:CA:2018-08-30	Sep 11, 2018	Sep 10, 2018	OAKLAND, CA	Firm change

Relationships

Registered with (5)

→ S••••••• W••••• M••••••••• L••Registered adviserregistration: current employment
Mar 5, 2024 to presentfactForm ADV
→ J••• M••••• P•••••• W••••• A••••••• L••Registered adviserregistration: previous registration
Nov 4, 2022 to Mar 8, 2024factForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
Jan 17, 2024 to Mar 7, 2024factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

Occurred
Mar 7, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Nov 7, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8d4c4d7e-942c-409a-d571-f545f07f4691
First observed: Jun 7, 2006
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.