DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner15 years in industry

T••••• M••• S••••

Advisor at B••••• P••••• A•••••••• L••

San Jose, CA | NEWPORT BEACH, CA

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Search this name across graphsid dfx:ria:afdb4e45-2c8d-9111-e387-4b87ac117027

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Oct 10, 2011 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••••• P••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jul 1, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
B••••• P••••• A•••••••• L••	Independent wealth	Oct 25, 2024	n/a	yes	San Jose, CA\|NEWPORT BEACH, CA	Current employment
L••••••• W••••• M••••••••• G••••	Former SEC adviser	Aug 2, 2022	Nov 14, 2024	no	LAKE ELMO, MN\|San Jose, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L••••••• W••••• M••••••••• G••••	B••••• P••••• A•••••••• L••	Nov 14, 2024	Oct 25, 2024	-20	Firm change	RIA to RIA
T••••••• A•••••• N••••••• L••	L••••••• W••••• M••••••••• G••••	Aug 15, 2022	Aug 2, 2022

Team moves

••• Locked

Team	Left	Joined	From	Kind
18387:304569:CA:2020-07-15	Jul 15, 2020	Jul 6, 2020	SAN JOSE, CA	Firm change

Relationships

Registered with (4)

→ B••••• P••••• A•••••••• L••Registered adviserregistration: current employment
Oct 25, 2024 to presentfactForm ADV
→ L••••••• W••••• M••••••••• G••••Registered adviserregistration: previous registration
Aug 2, 2022 to Nov 14, 2024factForm ADV
→ T••••••• A•••••• N••••••• L••Registered adviserregistration: previous registration
Jul 6, 2020 to Aug 15, 2022factForm ADV
→ T••••••• I••••••••• M••••••••• I•••

Dated events

Occurred
Nov 14, 2024
A•••••• firm change
••• Locked
Form ADVobserved 8 days ago
Occurred
Aug 15, 2022
A•••••• firm change
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:afdb4e45-2c8d-9111-e387-4b87ac117027
First observed: Oct 10, 2011
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.