I•••• M•••

Advisor at S•••••••• A••••••• L••

HIGHLAND HEIGHTS, OH

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:f1ebdc9b-cdb7-d4ae-5066-04867295debc

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Jun 30, 2009 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: May 31, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• A••••••• L••	National bd RIA	Mar 31, 2025	n/a	yes	HIGHLAND HEIGHTS, OH	Current employment
F••••••• P••••••• A•• W•••••••• A•••••••	Former SEC adviser	Nov 14, 2022	Mar 31, 2025	no	HIGHLAND HEIGHTS, OH\|WESTLAKE, OH

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
E•••••••• A•••••••• L••	F••••••• P••••••• A•• W•••••••• A•••••••	Sep 29, 2022	Nov 14, 2022

Relationships

Registered with (6)

→ S•••••••• A••••••• L••Registered adviserregistration: previous registration
Jun 30, 2009 to Jun 5, 2012factForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Nov 14, 2022 to Mar 31, 2025factForm ADV
→ E•••••••• A•••••••• L••Registered adviserregistration: previous registration
Oct 14, 2021 to Sep 29, 2022factForm ADV
→ P•••••••• S••••••••• I•••

Dated events

Occurred
Sep 29, 2022
Advisor changed firm
I•••• M••• left E•••••••• A•••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-11-14)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f1ebdc9b-cdb7-d4ae-5066-04867295debc
First observed: Jun 30, 2009
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.