DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)12 years in industry

B•••• S•••••

Advisor at S•••••••• A••••••• L••

IRVINE, CA

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Search this name across graphsid dfx:ria:57fac941-f3c0-a07c-d7c3-a5ac87674abf

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 3
On other graphs: 0
Observed: Nov 26, 2014 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•••••••• A••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Nov 8, 2013earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• A••••••• L••	National bd RIA	Mar 31, 2025	n/a	yes	IRVINE, CA\|IRVINE, CA	Current employment
F••••••• P••••••• A•• W•••••••• A•••••••	Former SEC adviser	Jan 24, 2024	Mar 31, 2025	no	IRVINE, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F••••••• P••••••• A•• W•••••••• A•••••••	S•••••••• A••••••• L••	Mar 31, 2025	Mar 31, 2025	0	Bulk transfer	Ibd to ibd
R•• W••••• P•••••••	F••••••• P••••••• A•• W•••••••• A•••••••	Dec 1, 2023	Jan 24, 2024

Team moves

••• Locked

Team	Left	Joined	From	Kind
158718:156984:CA:2023-11-07	Nov 7, 2023	Nov 3, 2023	SAN RAFAEL, CA	Firm change

Relationships

Registered with (6)

→ S•••••••• A••••••• L••Registered adviserregistration: current employment
Mar 31, 2025 to presentfactForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Jan 24, 2024 to Mar 31, 2025factForm ADV
→ R•• W••••• P•••••••Registered adviserregistration: previous registration
Nov 3, 2023 to Dec 1, 2023factForm ADV
→ P•••••• W••••• A••••••• G••••

Dated events

Occurred
Dec 1, 2023
Advisor changed firm
B•••• S••••• left R•• W••••• P••••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2024-01-24)
Form ADVobserved 7 days ago
Occurred
Nov 7, 2023
Advisor changed firm
B•••• S••••• left P•••••• W••••• A••••••• G•••• for R•• W••••• P••••••• (registered 2023-11-03)
Form ADVobserved 7 days ago
Occurred
Jun 23, 2023
Advisor changed firm
B•••• S••••• left E•••••• C•••••• M••••••••• L•• for P•••••• W••••• A••••••• G•••• (registered 2023-06-14)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:57fac941-f3c0-a07c-d7c3-a5ac87674abf
First observed: Nov 26, 2014
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.