DFX Intelligence

B•••••• W•••••• B•••: advisor on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

B•••••• W•••••• B•••

Advisor at L••••• A••••••• G••••• I••

SANTA ANA, 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:11584c0f-a5bc-3f39-7113-35a27010ebf6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Apr 20, 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: L••••• A••••••• G••••• I••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Feb 1, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L••••• A••••••• G••••• I••	State registered	Jan 2, 2024	n/a	yes	SANTA ANA, CA	Current employment
C•••• C•••••• S••••••••• L•••	Former SEC adviser	May 18, 2012	Apr 16, 2024	no	ORANGE, CA\|SANTA ANA, CA\|SANTA ANA, CA\|SANTA ANA, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••• C•••••• S••••••••• L•••	L••••• A••••••• G••••• I••	Apr 16, 2024	Jan 2, 2024	-105	Firm change after gap	Ibd to state RIA
J• P• T••••• • C•••••• C•••••• M••••••••• L••	C•••• C•••••• S••••••••• L•••	Jun 18, 2012	May 18, 2012

Relationships

Registered with (4)

→ L••••• A••••••• G••••• I••Registered adviserregistration: current employment
Jan 2, 2024 to presentfactForm ADV
→ C•••• C•••••• S••••••••• L•••Registered adviserregistration: previous registration
May 18, 2012 to Apr 16, 2024factForm ADV
→ J• P• T••••• • C•••••• C•••••• M••••••••• L••Registered adviserregistration: previous registration
Apr 5, 2010 to Jun 18, 2012factForm ADV
→ U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••

Dated events

Occurred
Apr 16, 2024
Advisor changed firm
B•••••• W•••••• B••• left C•••• C•••••• S••••••••• L••• for L••••• A••••••• G••••• I•• (registered 2024-01-02)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:11584c0f-a5bc-3f39-7113-35a27010ebf6
First observed: Apr 20, 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.