D•••••• I•••••

Advisor at S••••• T•••• A•••••••• L••

NEW YORK, NY | CHICAGO, IL

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:c696d132-b1b5-4494-cd1b-0dc6faf4a1a7

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Aug 6, 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: S••••• T•••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Nov 9, 2001earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• T•••• A•••••••• L••	Independent wealth	Apr 9, 2024	n/a	yes	NEW YORK, NY\|CHICAGO, IL	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Jul 19, 2023	Nov 3, 2023	no	NEWPORT BEACH, CA\|CHICAGO, IL\|SAN FRANCISCO, CA\|LAKE OSWEGO, OR\|NEWPORT BEACH, CA\|CENTENNIAL, CO

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	S••••• T•••• A•••••••• L••	Nov 3, 2023	Apr 9, 2024	158	Firm change	Ibd to RIA
B••••••• I••••••••• S•••••••• I••• •••••	L•• F•••••••• L••	Jul 19, 2023	Jul 19, 2023

Relationships

Registered with (4)

→ S••••• T•••• A•••••••• L••Registered adviserregistration: current employment
Apr 9, 2024 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Jul 19, 2023 to Nov 3, 2023factForm ADV
→ B••••••• I••••••••• S•••••••• I••• •••••Registered adviserregistration: previous registration
Oct 30, 2019 to Jul 19, 2023factForm ADV
→ U•• F•••••••• S••••••• I•••

Dated events

Occurred
Nov 3, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c696d132-b1b5-4494-cd1b-0dc6faf4a1a7
First observed: Aug 6, 2013
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.