H•••• F•••••

Advisor at S•••••••• A••••••• L••

BIRMINGHAM, AL

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:a032b63f-09db-27f4-a5cb-714a2aaf6c75

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:31 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Aug 6, 2020 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, 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: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• A••••••• L••	National bd RIA	Mar 31, 2025	n/a	yes	BIRMINGHAM, AL\|BIRMINGHAM, AL	Current employment
F••••••• P••••••• A•• W•••••••• A•••••••	Former SEC adviser	Apr 17, 2024	Mar 31, 2025	no	BIRMINGHAM, AL

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
K•••••• W••••• A•••••••• L••	F••••••• P••••••• A•• W•••••••• A•••••••	Dec 5, 2023	Apr 17, 2024

Relationships

Registered with (4)

→ S•••••••• A••••••• L••Registered adviserregistration: current employment
Mar 31, 2025 to presentfactForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Apr 17, 2024 to Mar 31, 2025factForm ADV
→ K•••••• W••••• A•••••••• L••Registered adviserregistration: previous registration
Feb 22, 2023 to Dec 5, 2023factForm ADV
→ R•••••• J•••• • A••••••••• I•••

Dated events

Occurred
Dec 5, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 21, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a032b63f-09db-27f4-a5cb-714a2aaf6c75
First observed: Aug 6, 2020
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.