J•••• L••• B•••

Advisor at S••••••••• W••••• M••••••••• I•••

WALNUT CREEK, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:4206b305-04a4-75e6-79de-6b8749fcfecf

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jan 5, 2007 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••••••••• W••••• M••••••••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Mar 1, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••••••• W••••• M••••••••• I•••	Independent wealth	Mar 27, 2026	n/a	yes	WALNUT CREEK, CA	Current employment
C••••••••• F•••••••• N••••••	National bd RIA	Feb 21, 2018	Jul 15, 2025	no	Lafayette, CA\|Alamo, CA\|Lafayette, CA\|Walnut Creek, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••••• F•••••••• N••••••	S••••••••• W••••• M••••••••• I•••	Jul 15, 2025	Mar 27, 2026	255	Firm change	Ibd to RIA
N••••••••• M••••• I••••••••• S•••••••••	C••••••••• F•••••••• N••••••	Mar 20, 2018	Feb 21, 2018

Team moves

••• Locked

Team	Left	Joined	From	Kind
8032:336637:CA:2025-07-14	Jul 15, 2025	Mar 27, 2026	WALNUT CREEK, CA	Firm change
2881:8032:CA:2018-03-20	Mar 20, 2018	Feb 21, 2018	SAN FRANCISCO, CA	Firm change

Relationships

Registered with (4)

→ S••••••••• W••••• M••••••••• I•••Registered adviserregistration: current employment
Mar 27, 2026 to presentfactForm ADV
→ C••••••••• F•••••••• N••••••Registered adviserregistration: previous registration
Feb 21, 2018 to Jul 15, 2025factForm ADV
→ N••••••••• M••••• I••••••••• S•••••••••Registered adviserregistration: previous registration
Sep 12, 2007 to Mar 20, 2018factForm ADV
→ N••••••••• M••••• W••••• M••••••••• C••••••

Dated events

Occurred
Jul 15, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4206b305-04a4-75e6-79de-6b8749fcfecf
First observed: Jan 5, 2007
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.