DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner15 years in industrynot currently registered

S•••• S•••••

Advisor at S••••• T•••• A•••••••• L••

LAKE OSWEGO, OR | NEW YORK, NY

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:d945e721-5686-4010-0529-974eebedb8e5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Aug 10, 2012 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••••• T•••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Aug 2, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom 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	May 31, 2024	n/a	yes	LAKE OSWEGO, OR\|NEW YORK, NY	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Jul 19, 2023	Jun 10, 2024	no	LAKE OSWEGO, OR	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	S••••• T•••• A•••••••• L••	Jun 10, 2024	May 31, 2024	-10	Firm change	Ibd to RIA
B••••••• I••••••••• S•••••••• I••• •••••	L•• F•••••••• L••	Jul 19, 2023	Jul 19, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
19616:29357:OR:2016-03-14	Mar 14, 2016	Mar 3, 2016	PORTLAND, OR	Firm change

Relationships

Registered with (4)

→ S••••• T•••• A•••••••• L••Registered adviserregistration: current employment
May 31, 2024 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Jul 19, 2023 to Jun 10, 2024factForm ADV
→ B••••••• I••••••••• S•••••••• I••• •••••Registered adviserregistration: previous registration
Mar 3, 2016 to Jul 19, 2023factForm ADV
→ W•••• F•••• A•••••••

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jun 10, 2024
Advisor changed firm
S•••• S••••• left L•• F•••••••• L•• for S••••• T•••• A•••••••• L•• (registered 2024-05-31)
Form ADVobserved 7 days ago

Show 1 bookkeeping events

First seen by DFX
Sep 19, 2026
date not stated
S•••• S••••• no longer holds an investment adviser registration (last listed at S••••• T•••• A•••••••• L•• on the 2026-09-18 feed)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d945e721-5686-4010-0529-974eebedb8e5
First observed: Aug 10, 2012
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.