DFX Intelligence

Data Factory

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

J••••••• L•••••• A••••••

Advisor at S•••••••• A••••••• L••

HOUSTON, TX

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:945caed1-a68b-6481-2694-6c0e0c24bf65

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jul 22, 2015 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: Jan 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 1derivedfrom 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	Mar 31, 2025	n/a	yes	HOUSTON, TX\|HOUSTON, TX	Current employment
F••••••• P••••••• A•• W•••••••• A•••••••	Former SEC adviser	Aug 26, 2022	Mar 31, 2025	no	HOUSTON, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F••••••• P••••••• A•• W•••••••• A•••••••	S•••••••• A••••••• L••	Mar 31, 2025	Mar 31, 2025	0	Bulk transfer	Ibd to ibd
W•••• F•••• A•••••••	F••••••• P••••••• A•• W•••••••• A•••••••	Aug 10, 2022	Aug 26, 2022

Team moves

••• Locked

Team	Left	Joined	From	Kind
19616:288590:TX:2022-07-27	Aug 10, 2022	Aug 26, 2022	KATY, TX	Firm change

Relationships

Registered with (6)

→ S•••••••• A••••••• L••Registered adviserregistration: current employment
Mar 31, 2025 to presentfactForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Aug 26, 2022 to Mar 31, 2025factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Mar 10, 2021 to Aug 10, 2022factForm ADV
→ T• A••••••••• I•••

Dated events

Occurred
Aug 10, 2022
Advisor changed firm
J••••••• L•••••• A•••••• left W•••• F•••• A••••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-08-26)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:945caed1-a68b-6481-2694-6c0e0c24bf65
First observed: Jul 22, 2015
Last observed: Sep 14, 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.