DFX Intelligence

S••• E••• G•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Consultant19 years in industry

S••• E••• G•••••••

Advisor at B••••• P••••• A•••••••• L••

NEWPORT BEACH, CA | DENVER, CO

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Search this name across graphsid dfx:ria:247c698f-a707-6c9e-29ec-1c6f6245011b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jul 11, 2019 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: B••••• P••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: May 31, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
B••••• P••••• A•••••••• L••	Independent wealth	Jul 11, 2019	n/a	yes	NEWPORT BEACH, CA\|DENVER, CO	Current employment
B••••• P••••• W••••• A•••••••• L••	Former SEC adviser	Jul 11, 2019	Apr 27, 2020	no	ARVADA, CO\|NEWPORT BEACH, CA\|Scottsdale, AZ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••••• P••••• W••••• A•••••••• L••	B••••• P••••• A•••••••• L••	Apr 27, 2020	Jul 11, 2019	-291	Bulk transfer	RIA to RIA

Relationships

Registered with (2)

→ B••••• P••••• A•••••••• L••Registered adviserregistration: current employment
Jul 11, 2019 to presentfactForm ADV
→ B••••• P••••• W••••• A•••••••• L••Registered adviserregistration: previous registration
Jul 11, 2019 to Apr 27, 2020factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:247c698f-a707-6c9e-29ec-1c6f6245011b
First observed: Jul 11, 2019
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.