P•••• S••••

Advisor at S•••••••• A••••••• L••

SUNNYVALE, CA

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 graphs

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Aug 2, 2019 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: May 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• A••••••• L••	National bd RIA	Mar 31, 2025	n/a	yes	SUNNYVALE, CA\|SUNNYVALE, CA	Current employment
F••••••• P••••••• A•• W•••••••• A•••••••	Former SEC adviser	May 9, 2024	Mar 31, 2025	no	SUNNYVALE, CA

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
C•••••••• G••••• M•••••• I•••	F••••••• P••••••• A•• W•••••••• A•••••••	Apr 22, 2024	May 9, 2024

Team moves

••• Locked

Team	Left	Joined	From	Kind
79:7059:CA:2022-06-04	Jun 4, 2022	Jun 29, 2022	LOS ALTOS, CA	Firm change
7691:79:NY:2019-11-20	Dec 3, 2019	Dec 17, 2019	NEW YORK, NY	Firm change

Relationships

Registered with (5)

→ S•••••••• A••••••• L••Registered adviserregistration: current employment
Mar 31, 2025 to presentfactForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
May 9, 2024 to Mar 31, 2025factForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
Jun 29, 2022 to Apr 22, 2024factForm ADV
→ J••• M••••• S••••••••• L••

Dated events

Occurred
Apr 22, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jun 4, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Aug 2, 2019
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.