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

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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

S••• C•••• Y•

Advisor at S••••• A••••••• I•••

BIRMINGHAM, AL

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Search this name across graphsid dfx:ria:e15030d0-003c-6800-2143-b44534ce5c50

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jan 26, 2006 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••••• A••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 10, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 6derivedfrom 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••••••• I•••	Bd affiliated wealth	Dec 6, 2019	n/a	yes	BIRMINGHAM, AL	Current employment
Q•••• C•••••• S••••••••• I•••	Former SEC adviser	Feb 1, 2008	Dec 6, 2019	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
Q•••• C•••••• S••••••••• I•••	S••••• A••••••• I•••	Dec 6, 2019	Dec 6, 2019	0	Bulk transfer	RIA to ibd
C•••• I••••••••• S••••••• C••••	Q•••• C•••••• S••••••••• I•••	Mar 29, 2007

Relationships

Registered with (3)

→ S••••• A••••••• I•••Registered adviserregistration: current employment
Dec 6, 2019 to presentfactForm ADV
→ Q•••• C•••••• S••••••••• I•••Registered adviserregistration: previous registration
Feb 1, 2008 to Dec 6, 2019factForm ADV
→ C•••• I••••••••• S••••••• C••••Registered adviserregistration: previous registration
Jan 26, 2006 to Mar 29, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e15030d0-003c-6800-2143-b44534ce5c50
First observed: Jan 26, 2006
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.