DFX Intelligence

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

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RIA / WealthAdvisor43 years in industry

B•••• A••••••• J••••

Advisor at S•••• P••••••••• L••

LAKE FOREST PARK, WA

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Search this name across graphsid dfx:ria:1553bbaa-74a6-659e-3759-3df3ca07f9eb

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 8, 2001 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•••• P••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jul 25, 1983earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 22derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••• P••••••••• L••	Independent wealth	Jul 2, 2004	n/a	yes	LAKE FOREST PARK, WA	Current employment
S••• S••••••••• L••	n/a	Oct 27, 2005	Dec 31, 2006	no	SEATTLE, WA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••• S••••••••• L••	n/a	Dec 31, 2006	n/a	n/a	Departure no registered destination	Departure
S••••• I••••••••• A•••••••• L••	S•••• P••••••••• L••	Dec 31, 2005	Jul 2, 2004	-547

Relationships

Registered with (4)

→ S•••• P••••••••• L••Registered adviserregistration: current employment
Jul 2, 2004 to presentfactForm ADV
→ S••• S••••••••• L••Registered adviserregistration: previous registration
Oct 27, 2005 to Dec 31, 2006factForm ADV
→ S••••• I••••••••• A•••••••• L••Registered adviserregistration: previous registration
Oct 23, 2002 to Dec 31, 2005factForm ADV
→ M••••• S•••••• D• I•••Registered adviserregistration: previous registration

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1553bbaa-74a6-659e-3759-3df3ca07f9eb
First observed: May 8, 2001
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.