DFX Intelligence

R•••• S•••••• T••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor29 years in industry

R•••• S•••••• T••

Advisor at B••••• W••••• A••••••• L••

SOUTH SAN FRANCISCO, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Dec 15, 1997 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••••• A••••••• L••
Current firm class: former SEC adviserderived
Book size: not public••• Locked
Industry start: Jan 17, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
B••••• W••••• A••••••• L••	Former SEC adviser	Jun 29, 2023	n/a	yes	SOUTH SAN FRANCISCO, CA	Current employment
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Oct 5, 2009	Jul 5, 2023	no	SAN FRANCISCO, CA\|San Francisco, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••••••• F•••••••• S•••••••• L••	B••••• W••••• A••••••• L••	Jul 5, 2023	Jun 29, 2023	-6	Firm change	Ibd to new firm
A••••••••• A•••••• S•••••••• I•••	A••••••••• F•••••••• S•••••••• L••	Oct 5, 2009	Oct 5, 2009

Relationships

Registered with (4)

→ B••••• W••••• A••••••• L••Registered adviserregistration: current employment
Jun 29, 2023 to presentfactForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Oct 5, 2009 to Jul 5, 2023factForm ADV
→ A••••••••• A•••••• S•••••••• I•••Registered adviserregistration: previous registration
Jan 18, 2005 to Oct 5, 2009factForm ADV
→ C•••••• S••••• • C••• I•••

Dated events

Order

Occurred
5 Jul 2023
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Dec 15, 1997
Last observed: Sep 14, 2026 9 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.