DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner14 years in industry

R•••••• L•••••• B••••

Advisor at S•• L••• W••••• A•••••••

SAN L••• OBISPO, CA

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Search this name across graphsid dfx:ria:69345cbc-d5c8-b0bc-27c7-957079fd30b4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Feb 25, 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•• L••• W••••• A•••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jun 1, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•• L••• W••••• A•••••••	Independent wealth	Apr 4, 2024	n/a	yes	SAN L••• OBISPO, CA	Current employment
F••••••• P••••••• A•• W•••••••• A•••••••	Former SEC adviser	Jul 13, 2018	Apr 2, 2024	no	BOSTON, MA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F••••••• P••••••• A•• W•••••••• A•••••••	S•• L••• W••••• A•••••••	Apr 2, 2024	Apr 4, 2024	2	Firm change	Ibd to RIA
S•••••••• A••••••• L••	F••••••• P••••••• A•• W•••••••• A•••••••	Jul 13, 2018	Jul 13, 2018

Relationships

Registered with (3)

→ S•• L••• W••••• A•••••••Registered adviserregistration: current employment
Apr 4, 2024 to presentfactForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Jul 13, 2018 to Apr 2, 2024factForm ADV
→ S•••••••• A••••••• L••Registered adviserregistration: previous registration
Feb 25, 2014 to Jul 13, 2018factForm ADV

Dated events

Occurred
Apr 2, 2024
Advisor changed firm
R•••••• L•••••• B•••• left F••••••• P••••••• A•• W•••••••• A••••••• for S•• L••• W••••• A••••••• (registered 2024-04-04)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:69345cbc-d5c8-b0bc-27c7-957079fd30b4
First observed: Feb 25, 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.