S••••••• M•••••

Advisor at S•••••••• A••••••• L••

PEORIA, AZ | WADDELL, AZ

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:a0d178da-52db-0008-8131-f3a54b6d91c9

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Oct 6, 2022 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•••••••• A••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jul 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• A••••••• L••	National bd RIA	Aug 6, 2026	n/a	yes	PEORIA, AZ\|WADDELL, AZ	Current employment
J••• M••••• S••••••••• L••	Wirehouse	Apr 28, 2023	Jul 3, 2026	no	ANTHEM,, AZ	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
J••• M••••• S••••••••• L••	S•••••••• A••••••• L••	Jul 3, 2026	Aug 6, 2026	34	Firm change	Wirehouse to ibd
S••••••• F•••••••• S•••••••• I•••	J••• M••••• S••••••••• L••	Mar 31, 2023	Apr 28, 2023

Relationships

Registered with (3)

→ S•••••••• A••••••• L••Registered adviserregistration: current employment
Aug 6, 2026 to presentfactForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
Apr 28, 2023 to Jul 3, 2026factForm ADV
→ S••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Oct 6, 2022 to Mar 31, 2023factForm ADV

Dated events

Occurred
Jul 3, 2026
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 31, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a0d178da-52db-0008-8131-f3a54b6d91c9
First observed: Oct 6, 2022
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.