DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner26 years in industry

S•••• W•••••• B•••••

Advisor at S••••• I••••••••• M••••••••• L••

SAN CLEMENTE, CA | TUCSON, AZ

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 9:36 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: May 3, 2005 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••••• I••••••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Feb 29, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 7

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• I••••••••• M••••••••• L••	Independent wealth	Jan 20, 2026	n/a	yes	TUCSON, AZ\|SAN CLEMENTE, CA	Current employment
O•••• W•••••• I•••	Bd affiliated wealth	Jun 14, 2024	Dec 18, 2025	no	Los Angeles, CA\|Los Angeles, CA\|SAN CLEMENTE, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O•••• W•••••• I•••	S••••• I••••••••• M••••••••• L••	Dec 18, 2025	Jan 20, 2026	33	Firm change	Ibd to RIA
S••••••••• A•••••• A•••••••• I•••	O•••• W•••••• I•••	Jun 14, 2024	Jun 14, 2024

Relationships

Registered with (7)

→ S••••• I••••••••• M••••••••• L••Registered adviserregistration: current employment
Jan 20, 2026 to presentfactForm ADV
→ O•••• W•••••• I•••Registered adviserregistration: previous registration
Jun 14, 2024 to Dec 18, 2025factForm ADV
→ S••••••••• A•••••• A•••••••• I•••Registered adviserregistration: previous registration
Jan 23, 2023 to Jun 14, 2024factForm ADV
→ C•••••• C••••• G••••• I•••

Dated events

Order

Occurred
18 Dec 2025
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: May 3, 2005
Last observed: Sep 14, 2026 10 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.