DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

D••••• R•••••• W•••••

Advisor at S•••••••• S••••••••• L••

HENDERSON, NV | AVONDALE, AZ

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Search this name across graphs

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Sep 10, 1996 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•••••••• S••••••••• L••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Dec 26, 1995earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• S••••••••• L••	State registered	Dec 16, 2021	n/a	yes	HENDERSON, NV\|HENDERSON, NV\|AVONDALE, AZ\|AVONDALE, AZ	Current employment
B••••••••• S••••••••• C•••••••••	n/a	Nov 7, 2005	Jul 23, 2007	no	HENDERSON, NV\|SAN JUAN CAPISTRANO, CA\|HENDERSON, NV

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••••••••• S••••••••• C•••••••••	S•••••••• S••••••••• L••	Jul 23, 2007	Dec 16, 2021	5,260	Firm change after gap	Other
S•••••••• F••••••••• I•••	B••••••••• S••••••••• C•••••••••	Nov 7, 2005	Nov 7, 2005

Relationships

Registered with (5)

→ S•••••••• S••••••••• L••Registered adviserregistration: current employment
Dec 16, 2021 to presentfactForm ADV
→ B••••••••• S••••••••• C•••••••••Registered adviserregistration: previous registration
Nov 7, 2005 to Jul 23, 2007factForm ADV
→ S•••••••• F••••••••• I•••Registered adviserregistration: previous registration
Oct 31, 2005 to Nov 7, 2005factForm ADV
→ S••••••••• S••••••••• I•••Registered adviserregistration: previous registration

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Sep 10, 1996
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.