O•••• R••••••••

Advisor at S•••••••• A••••••• L••

OXNARD, CA | THOUSAND OAKS, 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:dc46e6dd-a431-4dc1-622e-097881035377

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 8, 2020 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 public••• Locked
Industry start: Nov 1, 2013earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• A••••••• L••	National bd RIA	Mar 31, 2025	n/a	yes	THOUSAND OAKS, CA\|OXNARD, CA	Current employment
F••••••• P••••••• A•• W•••••••• A•••••••	Former SEC adviser	Nov 2, 2021	Mar 31, 2025	no	THOUSAND OAKS, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F••••••• P••••••• A•• W•••••••• A•••••••	S•••••••• A••••••• L••	Mar 31, 2025	Mar 31, 2025	0	Bulk transfer	Ibd to ibd
J••• M••••• S••••••••• L••	F••••••• P••••••• A•• W•••••••• A•••••••	Sep 25, 2021	Nov 2, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
79:288590:CA:2021-09-11	Sep 25, 2021	Nov 2, 2021	OXNARD, CA	Firm change

Relationships

Registered with (4)

→ S•••••••• A••••••• L••Registered adviserregistration: current employment
Mar 31, 2025 to presentfactForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Nov 2, 2021 to Mar 31, 2025factForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
Feb 23, 2021 to Sep 25, 2021factForm ADV
→ M••••• S••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:dc46e6dd-a431-4dc1-622e-097881035377
First observed: May 8, 2020
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.