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C•••••• E•••••••• M•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

C•••••• E•••••••• M•••••

Advisor at B••• W••••• S••••••••• L••

KAPOLEI, HI | DENVER, CO

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Search this name across graphsid dfx:ria:70f68ef1-1569-e24f-9966-5dd071269711

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

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Aug 26, 2015 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: B••• W••••• S••••••••• L••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 26, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms

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
B••• W••••• S••••••••• L••	Independent wealth	Nov 28, 2022	n/a	yes	KAPOLEI, HI\|DENVER, CO	Current employment
O•• T••• F•••••••• G•••• L••	n/a	Apr 18, 2022	Nov 22, 2022	no

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
O•• T••• F•••••••• G•••• L••	B••• W••••• S••••••••• L••	Nov 22, 2022	Nov 28, 2022	6	Firm change	Other
F•••• C•••••• A••••••• S•••••••	O•• T••• F•••••••• G•••• L••	May 7, 2020

Relationships

Registered with (4)

→ B••• W••••• S••••••••• L••Registered adviserregistration: current employment
Nov 28, 2022 to presentfactForm ADV
→ O•• T••• F•••••••• G•••• L••Registered adviserregistration: previous registration
Apr 18, 2022 to Nov 22, 2022factForm ADV
→ F•••• C•••••• A••••••• S•••••••Registered adviserregistration: previous registration
Sep 21, 2017 to May 7, 2020factForm ADV
→ F•••• C•••••• F•••••••• P•••••••• I•••

Dated events

Occurred
Nov 22, 2022
Advisor changed firm
C•••••• E•••••••• M••••• left O•• T••• F•••••••• G•••• L•• for B••• W••••• S••••••••• L•• (registered 2022-11-28)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:70f68ef1-1569-e24f-9966-5dd071269711
First observed: Aug 26, 2015
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.