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

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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

D•••• A• S•••• B••••

Advisor at R••••• W• B•••• • C•• I•••••••••

SACRAMENTO, CA

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Search this name across graphsid dfx:ria:85650921-6d6d-4f2d-15d8-23f8e18c3534

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jan 3, 2017 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: R••••• W• B•••• • C•• I•••••••••
Current firm class: mixed wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 1, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 0derivedfrom 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
R••••• W• B•••• • C•• I•••••••••	Mixed wealth	Aug 28, 2026	n/a	yes	SACRAMENTO, CA	Current employment
W•••• F•••• A•••••••	Wirehouse	Jul 1, 2019	Sep 10, 2026	no	SACRAMENTO, CA\|ELK GROVE, CA\|SACRAMENTO, CA\|SACRAMENTO, 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
W•••• F•••• A•••••••	R••••• W• B•••• • C•• I•••••••••	Sep 10, 2026	Aug 28, 2026	-13	Firm change	Wirehouse to RIA
J••• M••••• S••••••••• L••	W•••• F•••• A•••••••	Jul 9, 2019

Relationships

Registered with (3)

→ R••••• W• B•••• • C•• I•••••••••Registered adviserregistration: current employment
Aug 28, 2026 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jul 1, 2019 to Sep 10, 2026factForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
Jan 3, 2017 to Jul 9, 2019factForm ADV

Dated events

Occurred
Sep 10, 2026
Advisor changed firm
D•••• A• S•••• B•••• left W•••• F•••• A••••••• for R••••• W• B•••• • C•• I••••••••• (registered 2026-08-28)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:85650921-6d6d-4f2d-15d8-23f8e18c3534
First observed: Jan 3, 2017
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.