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

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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

S•••• W••••• L••••

Advisor at C••••••• M••••••••• I••••••••• A•••••••• L••

Las Vegas, NV | BOSTON, MA

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Search this name across graphsid dfx:ria:c54d5bb5-aa29-dd8b-1f84-394fe58a3721

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Dec 16, 2009 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: C••••••• M••••••••• I••••••••• A•••••••• L••
Current firm class: asset managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 2, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 0derivedfrom 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
C••••••• M••••••••• I••••••••• A•••••••• L••	Asset manager	Apr 27, 2026	n/a	yes	Las Vegas, NV\|BOSTON, MA	Current employment
W•••••• • R•••	Former SEC adviser	Dec 16, 2009	Sep 8, 2010	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
W•••••• • R•••	C••••••• M••••••••• I••••••••• A•••••••• L••	Sep 8, 2010	Apr 27, 2026	5,710	Firm change after gap	Other

Relationships

Registered with (2)

→ C••••••• M••••••••• I••••••••• A•••••••• L••Registered adviserregistration: current employment
Apr 27, 2026 to presentfactForm ADV
→ W•••••• • R•••Registered adviserregistration: previous registration
Dec 16, 2009 to Sep 8, 2010factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c54d5bb5-aa29-dd8b-1f84-394fe58a3721
First observed: Dec 16, 2009
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.