DFX Intelligence

E••• M•••••••• R•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

E••• M•••••••• R•••••••

Advisor at S•••••••• A••••••• L••

SACRAMENTO, CA

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Search this name across graphsid dfx:ria:e754f35d-d610-c263-8d40-1e3f8ef1cb19

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 3
On other graphs: 0
Observed: Nov 12, 2018 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••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Oct 1, 2012earliest 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: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• A••••••• L••	National bd RIA	Jun 23, 2026	n/a	yes	SACRAMENTO, CA	Current employment
U•••• W••••• M••••••••• O• U••	Independent wealth	Oct 14, 2025	Dec 19, 2025	no	HENDERSON, NV\|Cincinnati, OH

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•••• W••••• M••••••••• O• U••	S•••••••• A••••••• L••	Dec 19, 2025	Jun 23, 2026	186	Firm change	RIA to ibd
J••• M••••• S••••••••• L••	U•••• W••••• M••••••••• O• U••	May 15, 2025	Oct 14, 2025

Team moves

••• Locked

Team	Left	Joined	From	Kind
288590:7691:KY:2019-09-10	Sep 10, 2019	Oct 14, 2019	COVINGTON, KY	Firm change

Relationships

Registered with (5)

→ S•••••••• A••••••• L••Registered adviserregistration: current employment
Jun 23, 2026 to presentfactForm ADV
→ U•••• W••••• M••••••••• O• U••Registered adviserregistration: previous registration
Oct 14, 2025 to Dec 19, 2025factForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
May 4, 2022 to May 15, 2025factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

Occurred
Dec 19, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
May 15, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Apr 14, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e754f35d-d610-c263-8d40-1e3f8ef1cb19
First observed: Nov 12, 2018
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.