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A•••••••• B•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

A•••••••• B•••

Advisor at S•••••••• A••••••• L••

CAMPBELL, CA | SAN JOSE, CA

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Search this name across graphsid dfx:ria:d10f5396-d226-ab39-2c8b-03a833dcdd52

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Aug 5, 2014 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•••••••• A••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom 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
S•••••••• A••••••• L••	National bd RIA	May 27, 2026	n/a	yes	CAMPBELL, CA\|SAN JOSE, CA	Current employment
F••••• I•••••••••	Independent wealth	Apr 29, 2025	Apr 1, 2026	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
F••••• I•••••••••	S•••••••• A••••••• L••	Apr 1, 2026	May 27, 2026	56	Firm change	RIA to ibd
C•••••• S••••• • C••• I•••	F••••• I•••••••••	Apr 28, 2025

Relationships

Registered with (5)

→ S•••••••• A••••••• L••Registered adviserregistration: current employment
May 27, 2026 to presentfactForm ADV
→ F••••• I•••••••••Registered adviserregistration: previous registration
Apr 29, 2025 to Apr 1, 2026factForm ADV
→ C•••••• S••••• • C••• I•••Registered adviserregistration: previous registration
Jan 14, 2022 to Apr 28, 2025factForm ADV
→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••

Dated events

Occurred
Apr 1, 2026
Advisor changed firm
A•••••••• B••• left F••••• I••••••••• for S•••••••• A••••••• L•• (registered 2026-05-27)
Form ADVobserved 6 days ago
Occurred
Apr 28, 2025
Advisor changed firm
A•••••••• B••• left C•••••• S••••• • C••• I••• for F••••• I••••••••• (registered 2025-04-29)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d10f5396-d226-ab39-2c8b-03a833dcdd52
First observed: Aug 5, 2014
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.