B••••• S•••••

Advisor at W••••• E••••••••• A••••••• S•••••••• L••

PLYMOUTH, MN | WALNUT CREEK, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:72cfb75e-169a-4d9d-ed8f-922be0f79287

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Sep 18, 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: W••••• E••••••••• A••••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom 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
W••••• E••••••••• A••••••• S•••••••• L••	Bd affiliated wealth	Jan 5, 2026	n/a	yes	PLYMOUTH, MN\|WALNUT CREEK, CA	Current employment
S•••••••• L••	Independent wealth	Apr 14, 2022	Jul 30, 2024	no	FOSTER CITY, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••••• L••	W••••• E••••••••• A••••••• S•••••••• L••	Jul 30, 2024	Jan 5, 2026	524	Firm change after gap	RIA to ibd
F••••••• P••••••• A•• W•••••••• A•••••••	S•••••••• L••	Jan 10, 2022	Apr 14, 2022

Team moves

••• Locked

Team	Left	Joined	From	Kind
7691:288590:CA:2020-07-09	Aug 10, 2020	Sep 15, 2020	SAN FRANCISCO, CA	Firm change

Relationships

Registered with (4)

→ W••••• E••••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Jan 5, 2026 to presentfactForm ADV
→ S•••••••• L••Registered adviserregistration: previous registration
Apr 14, 2022 to Jul 30, 2024factForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Sep 15, 2020 to Jan 10, 2022factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

Occurred
Jul 30, 2024
Advisor changed firm
B••••• S••••• left S•••••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2026-01-05)
Form ADVobserved 7 days ago
Occurred
Jan 10, 2022
Advisor changed firm
B••••• S••••• left F••••••• P••••••• A•• W•••••••• A••••••• for S•••••••• L•• (registered 2022-04-14)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:72cfb75e-169a-4d9d-ed8f-922be0f79287
First observed: Sep 18, 2019
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.