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D•••• A••• R••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

D•••• A••• R••••

Advisor at B••• G••••• • C••••••• I•••

ORANGE, CA | Clarksville, TN

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Search this name across graphsid dfx:ria:3175d471-775c-cbb9-3dd3-8a4d1478fc41

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Aug 23, 1999 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••• G••••• • C••••••• I•••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 15, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 1derivedfrom 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••• G••••• • C••••••• I•••	Independent wealth	Dec 3, 2024	n/a	yes	ORANGE, CA\|Clarksville, TN	Current employment
I••••••••• A••••• I••••••••• M••••••••• L••	Bd affiliated wealth	Jul 31, 2023	Nov 18, 2024	no

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
I••••••••• A••••• I••••••••• M••••••••• L••	B••• G••••• • C••••••• I•••	Nov 18, 2024	Dec 3, 2024	15	Firm change	Ibd to RIA
S•••••••• F••••••••• I•••	I••••••••• A••••• I••••••••• M••••••••• L••	Aug 2, 2023

Relationships

Registered with (5)

→ B••• G••••• • C••••••• I•••Registered adviserregistration: current employment
Dec 3, 2024 to presentfactForm ADV
→ I••••••••• A••••• I••••••••• M••••••••• L••Registered adviserregistration: previous registration
Jul 31, 2023 to Nov 18, 2024factForm ADV
→ S•••••••• F••••••••• I•••Registered adviserregistration: previous registration
Feb 15, 2011 to Aug 2, 2023factForm ADV
→ N••• F•••••••• G••••• I•••

Dated events

Occurred
Nov 18, 2024
Advisor changed firm
D•••• A••• R•••• left I••••••••• A••••• I••••••••• M••••••••• L•• for B••• G••••• • C••••••• I••• (registered 2024-12-03)
Form ADVobserved 7 days ago
Occurred
Aug 2, 2023
Advisor changed firm
D•••• A••• R•••• left S•••••••• F••••••••• I••• for I••••••••• A••••• I••••••••• M••••••••• L•• (registered 2023-07-31)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3175d471-775c-cbb9-3dd3-8a4d1478fc41
First observed: Aug 23, 1999
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.