E••• S•••• W•••

Advisor at P••••• B••• C••••••• L••

NEWPORT BEACH, 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:07b623b2-317c-ba70-3b21-357f7ae0a90e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jul 8, 1997 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: P••••• B••• C••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Feb 19, 1988earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P••••• B••• C••••••• L••	Independent wealth	Aug 16, 2019	n/a	yes	NEWPORT BEACH, CA	Current employment
M••••• S••••••	Wirehouse	Jun 1, 2009	Aug 19, 2019	no	Los Angeles, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	P••••• B••• C••••••• L••	Aug 19, 2019	Aug 16, 2019	-3	Firm change	Wirehouse to new firm
C•••••••• G••••• M•••••• I•••	M••••• S••••••	Jun 1, 2009	Jun 1, 2009

Team moves

••• Locked

Team	Left	Joined	From	Kind
149777:301968:CA:2019-08-19	Aug 19, 2019	Aug 16, 2019	LOS ANGELES, CA	Firm change

Relationships

Registered with (3)

→ P••••• B••• C••••••• L••Registered adviserregistration: current employment
Aug 16, 2019 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to Aug 19, 2019factForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
Jul 8, 1997 to Jun 1, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:07b623b2-317c-ba70-3b21-357f7ae0a90e
First observed: Jul 8, 1997
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.