D•••• P•••••

Advisor at S•••••••• I••••••••• L••

Costa Mesa, CA | LAS VEGAS, NV

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:e553a99f-bb81-3085-1c92-53d8911dcf1f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Aug 29, 2013 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•••••••• I••••••••• L••
Current firm class: former SEC adviserderived
Book size: not public••• Locked
Industry start: Aug 29, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• I••••••••• L••	Former SEC adviser	Jan 1, 2026	n/a	yes	LAS VEGAS, NV\|Costa Mesa, CA	Current employment
H•••••••• A•••••••• L••	Bd affiliated wealth	Apr 3, 2015	Sep 21, 2022	no	NEWPORT BEACH, CA\|CHICAGO, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H•••••••• A•••••••• L••	S•••••••• I••••••••• L••	Sep 21, 2022	Jan 1, 2026	1,198	Firm change after gap	Ibd to RIA
M••••• S••••••	H•••••••• A•••••••• L••	Apr 15, 2015	Apr 3, 2015

Team moves

••• Locked

Team	Left	Joined	From	Kind
149777:145323:CA:2015-04-14	Apr 15, 2015	Apr 3, 2015	NEWPORT BEACH, CA	Firm change

Relationships

Registered with (3)

→ S•••••••• I••••••••• L••Registered adviserregistration: current employment
Jan 1, 2026 to presentfactForm ADV
→ H•••••••• A•••••••• L••Registered adviserregistration: previous registration
Apr 3, 2015 to Sep 21, 2022factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Aug 29, 2013 to Apr 15, 2015factForm ADV

Dated events

Occurred
Sep 21, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e553a99f-bb81-3085-1c92-53d8911dcf1f
First observed: Aug 29, 2013
Last observed: Sep 14, 2026 9 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.