DFX Intelligence

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

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RIA / WealthAdvisor22 years in industry

B••••••• A•••• L••••••

Advisor at R•••••• W••••• M••••••••• L••

SANTA MONICA, CA

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Search this name across graphsid dfx:ria:93fddcf6-f831-0f40-d863-e02223eaf532

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jul 7, 2004 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••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jun 30, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•••••• W••••• M••••••••• L••	Independent wealth	Nov 19, 2014	n/a	yes	SANTA MONICA, CA	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Dec 7, 2007	Dec 18, 2014	no	CHARLOTTE, NC\|FORT MILL, SC\|CHARLOTTE, NC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	R•••••• W••••• M••••••••• L••	Dec 18, 2014	Nov 19, 2014	-29	Firm change	Other
A• G• E•••••• • S•••• I•••	L•• F•••••••• L••	Dec 14, 2007	Dec 7, 2007

Relationships

Registered with (3)

→ R•••••• W••••• M••••••••• L••Registered adviserregistration: current employment
Nov 19, 2014 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Dec 7, 2007 to Dec 18, 2014factForm ADV
→ A• G• E•••••• • S•••• I•••Registered adviserregistration: previous registration
Jul 7, 2004 to Dec 14, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:93fddcf6-f831-0f40-d863-e02223eaf532
First observed: Jul 7, 2004
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.