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R••••• A••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)22 years in industry

R••••• A••••••

Advisor at A••••••••• F•••••••• S•••••••• L••

Scottsdale, AZ | LAKESIDE, AZ

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Search this name across graphsid dfx:ria:af4ed8d3-3a47-fdd0-c854-c3abf17228b0

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Jun 18, 2013 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: A••••••••• F•••••••• S•••••••• L••
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: Jul 1, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom 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
A••••••••• F•••••••• S•••••••• L••	National bd RIA	May 22, 2024	n/a	yes	Scottsdale, AZ\|LAKESIDE, AZ	Current employment
C••••••••• F•••••••• N••••••	National bd RIA	Jan 20, 2023	Apr 24, 2024	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
C••••••••• F•••••••• N••••••	A••••••••• F•••••••• S•••••••• L••	Apr 24, 2024	May 22, 2024	28	Firm change	Ibd to ibd
A•••••• F•••••••• S•••••••• L••	C••••••••• F•••••••• N••••••	Oct 16, 2023

Relationships

Registered with (4)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
May 22, 2024 to presentfactForm ADV
→ C••••••••• F•••••••• N••••••Registered adviserregistration: previous registration
Jan 20, 2023 to Apr 24, 2024factForm ADV
→ A•••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Oct 30, 2018 to Oct 16, 2023factForm ADV
→ A•••••• A••••••• S•••••••

Dated events

Occurred
Apr 24, 2024
Advisor changed firm
R••••• A•••••• left C••••••••• F•••••••• N•••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2024-05-22)
Form ADVobserved 7 days ago
Occurred
Oct 16, 2023
Advisor changed firm
R••••• A•••••• left A•••••• F•••••••• S•••••••• L•• for C••••••••• F•••••••• N•••••• (registered 2023-01-20)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:af4ed8d3-3a47-fdd0-c854-c3abf17228b0
First observed: Jun 18, 2013
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.