DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)43 years in industry

B••••• S•• W•••

Advisor at B• • A••••••••• I•••

ORANGE, CA

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Search this name across graphsid dfx:ria:884bf139-dcb1-5596-da85-3bcd728a12e8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jun 12, 2009 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• • A••••••••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jun 22, 1983earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 35derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
B• • A••••••••• I•••	Independent wealth	Nov 30, 1990	n/a	yes	ORANGE, CA	Current employment
S• W•••••	Former SEC adviser	Jun 29, 2012	May 19, 2015	no	SAN CLEMENTE, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
G••••• S••••••••• I•••	S• W•••••	Sep 23, 2015	Jun 29, 2012	-1,181	Firm change after gap	Other
S• W•••••	n/a	May 19, 2015	n/a	n/a

Relationships

Registered with (3)

→ B• • A••••••••• I•••Registered adviserregistration: current employment
Nov 30, 1990 to presentfactForm ADV
→ G••••• S••••••••• I•••Registered adviserregistration: previous registration
Jun 12, 2009 to Sep 23, 2015factForm ADV
→ S• W•••••Registered adviserregistration: previous registration
Jun 29, 2012 to May 19, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:884bf139-dcb1-5596-da85-3bcd728a12e8
First observed: Jun 12, 2009
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.