R•• I•••••

Advisor at S•••••••• A••••••• L••

LEMON GROVE, 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:9401c9db-e5ee-671e-1a2a-27601b0dfc53

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: May 25, 2021 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: Sep 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• A••••••• L••	National bd RIA	Oct 13, 2025	n/a	yes	LEMON GROVE, CA	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Mar 7, 2024	Aug 7, 2024	no	SAN DIEGO, CA\|SAN DIEGO, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	S•••••••• A••••••• L••	Aug 7, 2024	Oct 13, 2025	432	Firm change after gap	Ibd to ibd
C••••••••• W••• • C• I••	L•• F•••••••• L••	Nov 4, 2022	Mar 7, 2024

Relationships

Registered with (3)

→ S•••••••• A••••••• L••Registered adviserregistration: current employment
Oct 13, 2025 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Mar 7, 2024 to Aug 7, 2024factForm ADV
→ C••••••••• W••• • C• I••Registered adviserregistration: previous registration
May 25, 2021 to Nov 4, 2022factForm ADV

Dated events

Occurred
Aug 7, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Nov 4, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9401c9db-e5ee-671e-1a2a-27601b0dfc53
First observed: May 25, 2021
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.