DFX Intelligence

P•••• W••• L•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Analyst32 years in industry

P•••• W••• L•••••

Advisor at S••• C•••••• L••

SAN FRANCISCO, CA

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Search this name across graphsid dfx:ria:9df3bf05-85cf-798d-fbe5-5751a0a232ed

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 3
On other graphs: 0
Observed: Mar 10, 2000 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••• C•••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Feb 4, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 8

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••• C•••••• L••	Independent wealth	Apr 18, 2024	n/a	yes	SAN FRANCISCO, CA	Current employment
C••••••••• W•••••• L••	Independent wealth	Nov 1, 2022	Jan 26, 2024	no	Sausalito, CA\|LOS ANGELES, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••••• W•••••• L••	S••• C•••••• L••	Jan 26, 2024	Apr 18, 2024	83	Firm change	RIA to RIA
K••• C•••••• M••••••••• C•••••••••	C••••••••• W•••••• L••	Dec 31, 2022	Nov 1, 2022

Team moves

••• Locked

Team	Left	Joined	From	Kind
131834:143483:CA:2022-12-31	Dec 31, 2022	Nov 1, 2022	SAUSALITO, CA	Firm change after gap

Relationships

Registered with (8)

→ S••• C•••••• L••Registered adviserregistration: current employment
Apr 18, 2024 to presentfactForm ADV
→ C••••••••• W•••••• L••Registered adviserregistration: previous registration
Nov 1, 2022 to Jan 26, 2024factForm ADV
→ K••• C•••••• M••••••••• C•••••••••Registered adviserregistration: previous registration
Mar 7, 2022 to Dec 31, 2022factForm ADV
→ P•••• M••••••• C•••••• M••••••••• L••

Dated events

Occurred
Jan 26, 2024
Advisor changed firm
P•••• W••• L••••• left C••••••••• W•••••• L•• for S••• C•••••• L•• (registered 2024-04-18)
Form ADVobserved 7 days ago
Occurred
Dec 31, 2022
Advisor changed firm
P•••• W••• L••••• left K••• C•••••• M••••••••• C••••••••• for C••••••••• W•••••• L•• (registered 2022-11-01)
Form ADVobserved 7 days ago
Occurred
Jan 14, 2022
Advisor changed firm
P•••• W••• L••••• left P•••• M••••••• C•••••• M••••••••• L•• for K••• C•••••• M••••••••• C••••••••• (registered 2022-03-07)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9df3bf05-85cf-798d-fbe5-5751a0a232ed
First observed: Mar 10, 2000
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.