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M••••• S•• W•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

M••••• S•• W•••••

Advisor at D•••••••• A••••••• S•••••••• L••

SOUTH JORDAN, UT

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Search this name across graphsid dfx:ria:ac589c05-449e-e6b1-cc4b-1179a9045220

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:23 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Dec 11, 2009 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: D•••••••• A••••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 1, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 3derivedfrom 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
D•••••••• A••••••• S•••••••• L••	Bd affiliated wealth	Sep 5, 2023	n/a	yes	SOUTH JORDAN, UT	Current employment
A••••••• F•••••••• N•••••• A••••••• S•••••••• L••	Former SEC adviser	Sep 25, 2014	Jun 25, 2018	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
A••••••• F•••••••• N•••••• A••••••• S•••••••• L••	D•••••••• A••••••• S•••••••• L••	Jun 25, 2018	Sep 5, 2023	1,898	Firm change after gap	RIA to ibd
S••••••••• A•••••• A•••••••• I•••	A••••••• F•••••••• N•••••• A••••••• S•••••••• L••	Sep 23, 2014

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
160322:326060:CA:2018-06-25	Jun 25, 2018	Sep 5, 2023	LOS ANGELES, CA	Firm change after gap

Relationships

Registered with (4)

→ D•••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Sep 5, 2023 to presentfactForm ADV
→ A••••••• F•••••••• N•••••• A••••••• S•••••••• L••Registered adviserregistration: previous registration
Sep 25, 2014 to Jun 25, 2018factForm ADV
→ S••••••••• A•••••• A•••••••• I•••Registered adviserregistration: previous registration
Jun 30, 2010 to Sep 23, 2014factForm ADV
→ A•• A•••••• S••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ac589c05-449e-e6b1-cc4b-1179a9045220
First observed: Dec 11, 2009
Last observed: Sep 14, 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.