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

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RIA / WealthAdvisor13 years in industry

A•••••••• A• T•••

Advisor at S•••••••• L••

FOSTER CITY, CA | Pasadena, CA

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Search this name across graphsid dfx:ria:9694622d-dda1-6e6f-8a47-2c7384e591a9

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:23 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Dec 18, 2014 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•••••••• L••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 6, 2012earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 0derivedfrom 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•••••••• L••	Independent wealth	Mar 5, 2026	n/a	yes	Pasadena, CA\|FOSTER CITY, CA	Current employment
V•••••• W•••••	Former SEC adviser	Nov 12, 2021	Apr 7, 2026	no	PASADENA, CA

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_T•••SFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
V•••••• W•••••	S•••••••• L••	Apr 7, 2026	Mar 5, 2026	-33	Firm change after gap	RIA to RIA
G••••• C•••••• M•••••••••	V•••••• W•••••	Dec 8, 2021

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
111324:128586:CA:2026-04-07	Apr 7, 2026	Mar 5, 2026	PASADENA, CA	Firm change after gap

Relationships

Registered with (4)

→ S•••••••• L••Registered adviserregistration: current employment
Mar 5, 2026 to presentfactForm ADV
→ V•••••• W•••••Registered adviserregistration: previous registration
Nov 12, 2021 to Apr 7, 2026factForm ADV
→ G••••• C•••••• M•••••••••Registered adviserregistration: previous registration
May 17, 2017 to Dec 8, 2021factForm ADV
→ E•••• S••••••••• L••

Dated events

Occurred
Apr 7, 2026
Advisor changed firm
A•••••••• A• T••• left V•••••• W••••• for S•••••••• L•• (registered 2026-03-05)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9694622d-dda1-6e6f-8a47-2c7384e591a9
First observed: Dec 18, 2014
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.