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

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RIA / WealthAdvisorCertified Financial Planner11 years in industry

S••••• R••••• C•••••

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

Iowa City, IA | NEWPORT BEACH, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:f3e11864-ee18-5fea-cd7a-157710010b4b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 3
On other graphs: 0
Observed: Jan 30, 2018 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
B••••• P••••• A•••••••• L••	Independent wealth	Nov 24, 2025	n/a	yes	NEWPORT BEACH, CA\|Iowa City, IA	Current employment
H•••••••• W••••• M•••••••••	Former SEC adviser	Mar 28, 2023	Dec 18, 2025	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
H•••••••• W••••• M•••••••••	B••••• P••••• A•••••••• L••	Dec 18, 2025	Nov 24, 2025	-24	Firm change	RIA to RIA
J•• W•••••	H•••••••• W••••• M•••••••••	Feb 17, 2023

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
169024:119290:VA:2025-12-18	Dec 18, 2025	Nov 24, 2025	FALLS CHURCH, VA	Firm change

Relationships

Registered with (6)

→ B••••• P••••• A•••••••• L••Registered adviserregistration: current employment
Nov 24, 2025 to presentfactForm ADV
→ H•••••••• W••••• M•••••••••Registered adviserregistration: previous registration
Mar 28, 2023 to Dec 18, 2025factForm ADV
→ J•• W•••••Registered adviserregistration: previous registration
Apr 3, 2020 to Feb 17, 2023factForm ADV
→ S•••••• W••••• M••••••••• L••

Dated events

Occurred
Dec 18, 2025
Advisor changed firm
S••••• R••••• C••••• left H•••••••• W••••• M••••••••• for B••••• P••••• A•••••••• L•• (registered 2025-11-24)
Form ADVobserved 6 days ago
Occurred
Feb 17, 2023
Advisor changed firm
S••••• R••••• C••••• left J•• W••••• for H•••••••• W••••• M••••••••• (registered 2023-03-28)
Form ADVobserved 6 days ago
Occurred
Feb 16, 2023
Advisor changed firm
S••••• R••••• C••••• left S•••••• W••••• M••••••••• L•• for J•• W••••• (registered 2020-04-03)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f3e11864-ee18-5fea-cd7a-157710010b4b
First observed: Jan 30, 2018
Last observed: Sep 14, 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.