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

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RIA / WealthAdvisor24 years in industry

R••• S•••• B•••

Advisor at P•••••• A•••••••

Moraga, CA

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Search this name across graphsid dfx:ria:70c31f17-8518-04d8-ba0f-9890ef0badf1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 27, 2002 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: P•••••• A•••••••
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 6, 2001earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 5

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
P•••••• A•••••••	State registered	Jan 9, 2013	n/a	yes	Moraga, CA	Current employment
C•••••••• W••••• M•••••••••	Former SEC adviser	Aug 5, 2011	Mar 12, 2013	no	SAN RAMON, CA

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
C•••••••• W••••• M•••••••••	P•••••• A•••••••	Mar 12, 2013	Jan 9, 2013	-62	Firm change after gap	Other
L•••••••• F••••••••• M••••••••• L••	C•••••••• W••••• M•••••••••	Jul 25, 2011

Relationships

Registered with (6)

→ P•••••• A•••••••Registered adviserregistration: current employment
Jan 9, 2013 to presentfactForm ADV
→ C•••••••• W••••• M•••••••••Registered adviserregistration: previous registration
Aug 5, 2011 to Mar 12, 2013factForm ADV
→ L•••••••• F••••••••• M••••••••• L••Registered adviserregistration: previous registration
Sep 20, 2007 to Jul 25, 2011factForm ADV
→ Q•• F•••••••• L••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:70c31f17-8518-04d8-ba0f-9890ef0badf1
First observed: Mar 27, 2002
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.