DFX Intelligence

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

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

B•••• A••••• G••••••••

Advisor at S•••••• A••••••••• L•••

NEW YORK, NY | Seal Beach, CA

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Search this name across graphsid dfx:ria:67984c96-3b69-53ee-12cb-32f208025bea

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: Aug 30, 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: S•••••• A••••••••• L•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Apr 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: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• A••••••••• L•••	Independent wealth	Mar 3, 2026	n/a	yes	NEW YORK, NY\|Seal Beach, CA	Current employment
W•••• F•••• A•••••••	Wirehouse	Oct 13, 2025	Jan 12, 2026	no	SEAL BEACH, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	S•••••• A••••••••• L•••	Jan 12, 2026	Mar 3, 2026	50	Firm change	Wirehouse to RIA
J••• M••••• S••••••••• L••	W•••• F•••• A•••••••	Aug 13, 2025	Oct 13, 2025

Team moves

••• Locked

Team	Left	Joined	From	Kind
79:19616:CA:2025-08-08	Aug 13, 2025	Oct 13, 2025	LAGUNA NIGUEL, CA	Firm change

Relationships

Registered with (3)

→ S•••••• A••••••••• L•••Registered adviserregistration: previous registration
Aug 30, 2019 to Sep 16, 2024factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Oct 13, 2025 to Jan 12, 2026factForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
Sep 25, 2024 to Aug 13, 2025factForm ADV

Dated events

Occurred
Jan 12, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Aug 13, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Sep 16, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:67984c96-3b69-53ee-12cb-32f208025bea
First observed: Aug 30, 2019
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.