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S••••• M•••••• L••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

S••••• M•••••• L••••••

Advisor at B•• F•••••••• A•••••••

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Search this name across graphsid dfx:ria:21a79206-0135-a1a5-a0af-975e15bacb45

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Feb 12, 2019 to Sep 15, 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: B•• F•••••••• A•••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
B•• F•••••••• A•••••••	Bd affiliated wealth	Jul 1, 2026	n/a	yes	Denver, CO\|Littleton, CO\|Golden, CO\|Parker, CO\|Denver, CO\|Tulsa, OK\|Aurora, CO\|Aurora, CO\|Lakewood, CO\|Parker, CO\|Highlands Ranch, CO\|Denver, CO\|Englewood, CO\|Boulder, CO\|Greenwood Village, CO	Current employment
W•••• F•••• A•••••••	Wirehouse	Jun 24, 2024	Jun 23, 2026

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	B•• F•••••••• A•••••••	Jun 23, 2026	Jul 1, 2026	8	Firm change	Wirehouse to ibd
F••••••• P••••••• A•• W•••••••• A•••••••	W•••• F•••• A•••••••	May 30, 2024

Relationships

Registered with (5)

→ B•• F•••••••• A•••••••Registered adviserregistration: current employment
Jul 1, 2026 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jun 24, 2024 to Jun 23, 2026factForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Aug 24, 2021 to May 30, 2024factForm ADV
→ T••••• A••••••• S•••••••• I•••

Dated events

Occurred
Jun 23, 2026
Advisor changed firm
S••••• M•••••• L•••••• left W•••• F•••• A••••••• for B•• F•••••••• A••••••• (registered 2026-07-01)
Form ADVobserved 7 days ago
Occurred
May 30, 2024
Advisor changed firm
S••••• M•••••• L•••••• left F••••••• P••••••• A•• W•••••••• A••••••• for W•••• F•••• A••••••• (registered 2024-06-24)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:21a79206-0135-a1a5-a0af-975e15bacb45
First observed: Feb 12, 2019
Last observed: Sep 15, 2026 7 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.