DFX Intelligence

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

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RIA / WealthAdvisor35 years in industry

B•••••• S•• R•••••••

Advisor at A•••• W••••• A•••••••

BATON ROUGE, LA | SAN DIEGO, CA

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:41 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: May 12, 1998 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•••• W••••• A•••••••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: May 30, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A•••• W••••• A•••••••	State registered	Nov 13, 2023	n/a	yes	BATON ROUGE, LA\|SAN DIEGO, CA	Current employment
I••••••••• W••••• C••••••• L••	Independent wealth	Feb 1, 2023	Nov 1, 2023	no	SOLANA BEACH, CA\|BATON ROUGE, LA\|RANCHO SANTA FE, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I••••••••• W••••• C••••••• L••	A•••• W••••• A•••••••	Nov 1, 2023	Nov 13, 2023	12	Firm change	RIA to state RIA
L••••• W••••• A•••••••• I•••	I••••••••• W••••• C••••••• L••	Feb 21, 2023	Feb 1, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
157139:284656:CA:2023-02-21	Feb 21, 2023	Feb 1, 2023	SOLANA BEACH, CA	Firm change

Relationships

Registered with (6)

→ A•••• W••••• A•••••••Registered adviserregistration: current employment
Nov 13, 2023 to presentfactForm ADV
→ I••••••••• W••••• C••••••• L••Registered adviserregistration: previous registration
Feb 1, 2023 to Nov 1, 2023factForm ADV
→ L••••• W••••• A•••••••• I•••Registered adviserregistration: previous registration
Jan 31, 2021 to Feb 21, 2023factForm ADV
→ A••••••••• F•••••••• S•••••••• L••

Dated events

Order

Occurred
1 Nov 2023
Advisor changed firm
••• Locked
Form ADV
Occurred
21 Feb 2023
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: May 12, 1998
Last observed: Sep 15, 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.