DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)38 years in industry

R••• D•••• S•••••••

Advisor at S•••••• A••••••••• L•••

NEW YORK, NY | Calabase, CA

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Search this name across graphsid dfx:ria:c505e347-f477-bba1-9e05-1a5246f6d638

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jun 22, 2016 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: independent wealth managerderived
Book size: not public••• Locked
Industry start: Oct 13, 1987earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• A••••••••• L•••	Independent wealth	Apr 2, 2018	n/a	yes	Calabase, CA\|NEW YORK, NY	Current employment
S••••••••• F•••••••• S•••••••• I•••	n/a	Jun 22, 2016	Dec 31, 2017	no	BEVERLY HILLS, CA\|BEVERLY HILLS, CA\|CALABASAS, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••••• F•••••••• S•••••••• I•••	S•••••• A••••••••• L•••	Dec 31, 2017	Apr 2, 2018	92	Firm change	Other

Team moves

••• Locked

Team	Left	Joined	From	Kind
6670:288572:CA:2017-12-31	Dec 31, 2017	Apr 2, 2018	CALABASAS, CA	Firm change

Relationships

Registered with (2)

→ S•••••• A••••••••• L•••Registered adviserregistration: current employment
Apr 2, 2018 to presentfactForm ADV
→ S••••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jun 22, 2016 to Dec 31, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c505e347-f477-bba1-9e05-1a5246f6d638
First observed: Jun 22, 2016
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.