D••••• S••••••

Advisor at S••••• I••••••••• M••••••••• L••

TUCSON, AZ | RANCHO PALOS VERDES, 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:c7548989-dc8c-7e21-6e8b-8529c6a83e00

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Apr 6, 2020 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••••• I••••••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Dec 1, 2002earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• I••••••••• M••••••••• L••	Independent wealth	Jul 15, 2025	n/a	yes	RANCHO PALOS VERDES, CA\|TUCSON, AZ	Current employment
M•• I•••••••• S•••••••• L••	Bd affiliated wealth	Jun 12, 2024	Jul 16, 2025	no	Rancho Palos Verdes, CA\|El Segundo, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•• I•••••••• S•••••••• L••	S••••• I••••••••• M••••••••• L••	Jul 16, 2025	Jul 15, 2025	-1	Firm change	Ibd to RIA
C•••••••• I••••••••• R••••••• A•••••••• I•••	M•• I•••••••• S•••••••• L••	Apr 29, 2024	Jun 12, 2024

Relationships

Registered with (3)

→ S••••• I••••••••• M••••••••• L••Registered adviserregistration: current employment
Jul 15, 2025 to presentfactForm ADV
→ M•• I•••••••• S•••••••• L••Registered adviserregistration: previous registration
Jun 12, 2024 to Jul 16, 2025factForm ADV
→ C•••••••• I••••••••• R••••••• A•••••••• I•••Registered adviserregistration: previous registration
Apr 6, 2020 to Apr 29, 2024factForm ADV

Dated events

Occurred
Jul 16, 2025
Advisor changed firm
D••••• S•••••• left M•• I•••••••• S•••••••• L•• for S••••• I••••••••• M••••••••• L•• (registered 2025-07-15)
Form ADVobserved 7 days ago
Occurred
Apr 29, 2024
Advisor changed firm
D••••• S•••••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for M•• I•••••••• S•••••••• L•• (registered 2024-06-12)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c7548989-dc8c-7e21-6e8b-8529c6a83e00
First observed: Apr 6, 2020
Last observed: Sep 14, 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.