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

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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

S••••• L••• G•••••••

Advisor at C•••••• S••••• • C••• I•••

Corte Madera, CA | Charlotte, NC

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Search this name across graphsid dfx:ria:a06d9ffa-77f6-5511-5104-5f3050ae1ff6

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 2
On other graphs: 0
Observed: Oct 21, 2005 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: C•••••• S••••• • C••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 17, 2005earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 2derivedfrom 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
C•••••• S••••• • C••• I•••	National bd RIA	Aug 8, 2024	n/a	yes	Charlotte, NC\|Corte Madera, CA	Current employment
G••••••• W••••• A•••••••• L••	Independent wealth	Oct 25, 2022	Dec 4, 2023	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
G••••••• W••••• A•••••••• L••	C•••••• S••••• • C••• I•••	Dec 4, 2023	Aug 8, 2024	248	Firm change	RIA to ibd
P•••••• W••••• M••••••••• L••	G••••••• W••••• A•••••••• L••	Oct 3, 2022

Relationships

Registered with (9)

→ C•••••• S••••• • C••• I•••Registered adviserregistration: current employment
Aug 8, 2024 to presentfactForm ADV
→ G••••••• W••••• A•••••••• L••Registered adviserregistration: previous registration
Oct 25, 2022 to Dec 4, 2023factForm ADV
→ P•••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
May 10, 2021 to Oct 3, 2022factForm ADV
→ T• A••••••••• I•••

Dated events

Occurred
Dec 4, 2023
Advisor changed firm
S••••• L••• G••••••• left G••••••• W••••• A•••••••• L•• for C•••••• S••••• • C••• I••• (registered 2024-08-08)
Form ADVobserved 7 days ago
Occurred
Oct 3, 2022
Advisor changed firm
S••••• L••• G••••••• left P•••••• W••••• M••••••••• L•• for G••••••• W••••• A•••••••• L•• (registered 2022-10-25)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a06d9ffa-77f6-5511-5104-5f3050ae1ff6
First observed: Oct 21, 2005
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.