R•••••• G••••

Advisor at A••••••• F••••••••• L•••

FOLSOM, CA | 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:7d3dd527-a3c6-6760-6ff7-f4efbea53c80

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Aug 2, 2007 to Sep 15, 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: A••••••• F••••••••• L•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 13, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••• F••••••••• L•••	Bd affiliated wealth	May 3, 2021	n/a	yes	Walnut Creek, CA\|FOLSOM, CA	Current employment
S•••• W••••• M•••••••••	Former SEC adviser	Nov 14, 2016	Aug 18, 2021	no	WALNUT CREEK, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••• W••••• M•••••••••	A••••••• F••••••••• L•••	Aug 18, 2021	May 3, 2021	-107	Firm change after gap	RIA to RIA
B•••••• W••••• A•••••••• L••	S•••• W••••• M•••••••••	Nov 7, 2016	Nov 14, 2016

Team moves

••• Locked

Team	Left	Joined	From	Kind
136101:111167:CA:2021-08-18	Aug 18, 2021	May 3, 2021	WALNUT CREEK, CA	Firm change after gap

Relationships

Registered with (4)

→ A••••••• F••••••••• L•••Registered adviserregistration: current employment
May 3, 2021 to presentfactForm ADV
→ S•••• W••••• M•••••••••Registered adviserregistration: previous registration
Nov 14, 2016 to Aug 18, 2021factForm ADV
→ B•••••• W••••• A•••••••• L••Registered adviserregistration: previous registration
Sep 18, 2013 to Nov 7, 2016factForm ADV
→ P••••••••• F•••••••• A•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7d3dd527-a3c6-6760-6ff7-f4efbea53c80
First observed: Aug 2, 2007
Last observed: Sep 15, 2026 7 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.