DFX Intelligence

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

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RIA / WealthAdvisor14 years in industry

A••••• L••••••• K•••••••

Advisor at S•••••••• I••••••••• G••••• L••

NEWPORT BEACH, CA

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Search this name across graphsid dfx:ria:01b40c09-eace-807e-b219-c6a9a81909df

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jun 6, 2013 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: S•••••••• I••••••••• G••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Aug 6, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• I••••••••• G••••• L••	Independent wealth	Oct 24, 2016	n/a	yes	NEWPORT BEACH, CA	Current employment
S•••••••• R•••••••• C•••••• M••••••••• L••	Independent wealth	Jun 6, 2013	Mar 29, 2018	no	NEWPORT BEACH, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••••• R•••••••• C•••••• M••••••••• L••	S•••••••• I••••••••• G••••• L••	Mar 29, 2018	Oct 24, 2016	-521	Firm change after gap	Other

Team moves

••• Locked

Team	Left	Joined	From	Kind
144069:283414:CA:2018-03-29	Mar 29, 2018	Oct 24, 2016	NEWPORT BEACH, CA	Firm change after gap

Relationships

Registered with (2)

→ S•••••••• I••••••••• G••••• L••Registered adviserregistration: current employment
Oct 24, 2016 to presentfactForm ADV
→ S•••••••• R•••••••• C•••••• M••••••••• L••Registered adviserregistration: previous registration
Jun 6, 2013 to Mar 29, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:01b40c09-eace-807e-b219-c6a9a81909df
First observed: Jun 6, 2013
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.