DFX Intelligence

L••• R•••••• S••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

L••• R•••••• S••••

Advisor at S•••••• C•••••• A••••••• L••

NEW YORK, NY | PASADENA, CA

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Search this name across graphsid dfx:ria:9f6b615a-88b0-bc8e-9ee2-006cde1ad170

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: May 23, 2003 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•••••• C•••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 19, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• C•••••• A••••••• L••	Bd affiliated wealth	Jan 14, 2015	n/a	yes	PASADENA, CA\|NEW YORK, NY	Current employment
S•••••• C•••••• A••••••• L••	Bd affiliated wealth	Nov 28, 2012	Dec 31, 2014	no	PASADENA, CA\|NEW YORK, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	S•••••• C•••••• A••••••• L••	Nov 28, 2012	Nov 28, 2012	0	Firm change	Other

Relationships

Registered with (2)

→ S•••••• C•••••• A••••••• L••Registered adviserregistration: previous registration
Nov 28, 2012 to Dec 31, 2014factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
May 23, 2003 to Nov 28, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9f6b615a-88b0-bc8e-9ee2-006cde1ad170
First observed: May 23, 2003
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.