C••• W•••

Advisor at S•••••••• A••••••• L••

REDWOOD CITY, CA | PALO ALTO, 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 graphsid dfx:ria:b462d14c-9276-f569-e8fe-91e886b21e74

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Sep 3, 2008 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: Jan 13, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 7

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• A••••••• L••	National bd RIA	Mar 31, 2025	n/a	yes	REDWOOD CITY, CA\|PALO ALTO, CA	Current employment
F••••••• P••••••• A•• W•••••••• A•••••••	Former SEC adviser	Apr 1, 2024	Mar 31, 2025	no	PALO ALTO, 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•••••• S••••• • C••• I•••	F••••••• P••••••• A•• W•••••••• A•••••••	Jan 11, 2024	Apr 1, 2024

Team moves

••• Locked

Team	Left	Joined	From	Kind
5393:288590:CA:2023-12-26	Jan 11, 2024	Apr 1, 2024	CUPERTINO, CA	Firm change
111514:7870:CA:2023-09-07	Sep 7, 2023	Feb 27, 2018	CUPERTINO, CA	Firm change after gap
7870:5393:CA:2022-10-05	Oct 14, 2022	Jan 26, 2022	CUPERTINO, CA	Firm change after gap

Relationships

Registered with (6)

→ S•••••••• A••••••• L••Registered adviserregistration: current employment
Mar 31, 2025 to presentfactForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Apr 1, 2024 to Mar 31, 2025factForm ADV
→ C•••••• S••••• • C••• I•••Registered adviserregistration: previous registration
Jan 26, 2022 to Jan 11, 2024factForm ADV
→ T• A••••••••• I••••••••• M••••••••• L••

Dated events

Occurred
Jan 11, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b462d14c-9276-f569-e8fe-91e886b21e74
First observed: Sep 3, 2008
Last observed: Sep 15, 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.