DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

B•••• P•••••• A•••

Advisor at A••••••• A••••••• S•••••••• L••

ROSEVILLE, CA

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Search this name across graphs

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Jul 25, 2002 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: A••••••• A••••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 6, 2000earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 7

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••• A••••••• S•••••••• L••	Bd affiliated wealth	May 13, 2024	n/a	yes	ROSEVILLE, CA	Current employment
C•••••••	Institutional manager	Jan 26, 2021	May 9, 2024	no	Sacramento, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••••	A••••••• A••••••• S•••••••• L••	May 9, 2024	May 13, 2024	4	Firm change	Other
G••••••• B•••••• • B••••••• W••••• A•• R••••••••• P••• M•••• L••	C•••••••	Mar 31, 2021	Jan 26, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
105698:175112:CA:2021-03-31	Mar 31, 2021	Jan 26, 2021	SACRAMENTO, CA	Firm change after gap

Relationships

Registered with (8)

→ A••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
May 13, 2024 to presentfactForm ADV
→ C•••••••Registered adviserregistration: previous registration
Jan 26, 2021 to May 9, 2024factForm ADV
→ G••••••• B•••••• • B••••••• W••••• A•• R••••••••• P••• M•••• L••Registered adviserregistration: previous registration
Jul 14, 2017 to Mar 31, 2021factForm ADV
→ I••••••••• F•••••••• P•••••••

Dated events

Order

Occurred
9 May 2024
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jul 25, 2002
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.