DFX Intelligence

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

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

L••••• L••••• H•••••

Advisor at B•••••• F••••• • C•••••• F•••••••• S•••••••• I•••

Elk Grove, CA | SACRAMENTO, CA

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Search this name across graphsid dfx:ria:d46ec121-97c5-20ab-35f4-bd7faea74d2b

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

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Sep 21, 2001 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: B•••••• F••••• • C•••••• F•••••••• S•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 31, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
B•••••• F••••• • C•••••• F•••••••• S•••••••• I•••	Bd affiliated wealth	Apr 20, 2009	n/a	yes	SACRAMENTO, CA\|Elk Grove, CA	Current employment
B••• O• A•••••• I••••••••• S•••••••• I•••	n/a	May 25, 2007	Apr 20, 2009	no	SACRAMENTO, CA\|SACRAMENTO, CA\|SACRAMENTO, CA\|NORTH HIGHLANDS, CA\|SACRAMENTO, CA\|SACRAMENTO, CA\|SACRAMENTO, CA\|ROSEVILLE, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••• O• A•••••• I••••••••• S•••••••• I•••	B•••••• F••••• • C•••••• F•••••••• S•••••••• I•••	Apr 20, 2009	Apr 20, 2009	0	Firm change	Other
C•••••••• G••••• M•••••• I•••	B••• O• A•••••• I••••••••• S•••••••• I•••	Jun 14, 2007

Relationships

Registered with (3)

→ B•••••• F••••• • C•••••• F•••••••• S•••••••• I•••Registered adviserregistration: current employment
Apr 20, 2009 to presentfactForm ADV
→ B••• O• A•••••• I••••••••• S•••••••• I•••Registered adviserregistration: previous registration
May 25, 2007 to Apr 20, 2009factForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
Sep 21, 2001 to Jun 14, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d46ec121-97c5-20ab-35f4-bd7faea74d2b
First observed: Sep 21, 2001
Last observed: Sep 15, 2026 8 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.