DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

L•••••• A•••• B••••••••

Advisor at R•• S••••••••• I•••

LOS ANGELES, CA | Los Angeles, CA

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Search this name across graphsid dfx:ria:03107612-f4f7-d462-75b1-07351e2ed0f5

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Dec 6, 2023 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: R•• S••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 1, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•• S••••••••• I•••	Bd affiliated wealth	Jul 20, 2026	n/a	yes	Los Angeles, CA\|LOS ANGELES, CA	Current employment
S•••••••• A••••••• L••	National bd RIA	May 9, 2025	Jan 21, 2026	no	SANTA MONICA, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••••• A••••••• L••	R•• S••••••••• I•••	Jan 21, 2026	Jul 20, 2026	180	Firm change	Ibd to ibd
E•••••••• A•••••••• L••	S•••••••• A••••••• L••	Feb 3, 2025	May 9, 2025

Relationships

Registered with (3)

→ R•• S••••••••• I•••Registered adviserregistration: current employment
Jul 20, 2026 to presentfactForm ADV
→ S•••••••• A••••••• L••Registered adviserregistration: previous registration
May 9, 2025 to Jan 21, 2026factForm ADV
→ E•••••••• A•••••••• L••Registered adviserregistration: previous registration
Dec 6, 2023 to Feb 3, 2025factForm ADV

Dated events

Occurred
Jan 21, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 3, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:03107612-f4f7-d462-75b1-07351e2ed0f5
First observed: Dec 6, 2023
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.