DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)13 years in industry

S••••• S•••

Advisor at S••••• W••••• A•••••••• I•••

SAN FRANCISCO, CA | Los Angeles, CA

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Dec 8, 2012 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: S••••• W••••• A•••••••• I•••
Current firm class: no raum reportedderived
Book size: not public••• Locked
Industry start: Dec 7, 2012earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• W••••• A•••••••• I•••	No RAUM reported	Jun 13, 2025	n/a	yes	SAN FRANCISCO, CA\|Los Angeles, CA	Current employment
S•••••••• A••••••• L••	National bd RIA	Mar 31, 2025	May 28, 2025	no	BURBANK, CA\|LOS ANGELES, CA\|BOSTON, MA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••••• A••••••• L••	S••••• W••••• A•••••••• I•••	May 28, 2025	Jun 13, 2025	16	Firm change	Other
F••••••• P••••••• A•• W•••••••• A•••••••	S•••••••• A••••••• L••	Mar 31, 2025	Mar 31, 2025

Team moves

••• Locked

Team	Left	Joined	From	Kind
104555:159035:MA:2025-05-28	May 28, 2025	Jun 13, 2025	BOSTON, MA	Firm change
7691:104555:CA:2016-06-28	Jun 28, 2016	Feb 9, 2017	NEWPORT BEACH, CA	Firm change

Relationships

Registered with (5)

→ S••••• W••••• A•••••••• I•••Registered adviserregistration: current employment
Jun 13, 2025 to presentfactForm ADV
→ S•••••••• A••••••• L••Registered adviserregistration: previous registration
Mar 31, 2025 to May 28, 2025factForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Jul 13, 2018 to Mar 31, 2025factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

Order

Occurred
28 May 2025
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Dec 8, 2012
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.