T•••• J••

Advisor at S•••••• P••••••• I••••••••• A•••••••• L••

STAMFORD, CT | DANVILLE, 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:b5f1fb96-38e0-d978-ab55-f8a2840500a4

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Sep 13, 1999 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•••••• P••••••• I••••••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Apr 27, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• P••••••• I••••••••• A•••••••• L••	Bd affiliated wealth	Jun 30, 2025	n/a	yes	DANVILLE, CA\|STAMFORD, CT	Current employment
S•••••• W••••• M•••••••••	Former SEC adviser	Jul 14, 2015	Sep 4, 2025	no	DANVILLE, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••••• W••••• M•••••••••	S•••••• W••••• M•••••••••	Sep 4, 2025	Jul 14, 2015	-3,705	Firm change after gap	Other
S•••••• W••••• M•••••••••	S•••••• P••••••• I••••••••• A•••••••• L••	Sep 4, 2025	Jun 30, 2025

Team moves

••• Locked

Team	Left	Joined	From	Kind
155343:170265:CA:2025-09-04	Sep 4, 2025	Jul 14, 2015	SAN RAMON, CA	Firm change after gap
170265:283004:CA:2025-09-04	Sep 4, 2025	Jun 30, 2025	DANVILLE, CA	Firm change after gap

Relationships

Registered with (7)

→ S•••••• P••••••• I••••••••• A•••••••• L••Registered adviserregistration: current employment
Jun 30, 2025 to presentfactForm ADV
→ C•••••••• W••••• M•••••••••Registered adviserregistration: previous registration
Dec 12, 2014 to Sep 4, 2025factForm ADV
→ S•••••• W••••• M•••••••••Registered adviserregistration: previous registration
Jul 14, 2015 to Sep 4, 2025factForm ADV
→ C••••••• P•••••••

Dated events

Occurred
Sep 4, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Sep 4, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b5f1fb96-38e0-d978-ab55-f8a2840500a4
First observed: Sep 13, 1999
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.