DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

C•••• A••• R•••••••

Advisor at I•••••••• A•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:0a05c1a1-50eb-2a27-ba66-fcc4a164c584

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: May 11, 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: I•••••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 1, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
I•••••••• A•••••••• L••	Bd affiliated wealth	Nov 3, 2025	n/a	yes	LAKE FOREST, CA\|Lolo, MT\|AUSTIN, TX	Current employment
L••• S••••• A•••••••• L••	Former SEC adviser	May 1, 2020	Nov 3, 2025	no	Lolo, MT\|LAKE FOREST, CA\|AUSTIN, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L••• S••••• A•••••••• L••	I•••••••• A•••••••• L••	Nov 3, 2025	Nov 3, 2025	0	Bulk transfer	Ibd to ibd
M• H••••••• S••••••••• I•••	L••• S••••• A•••••••• L••	May 4, 2020	May 1, 2020

Team moves

••• Locked

Team	Left	Joined	From	Kind
43285:167610:CA:2020-05-04	May 4, 2020	May 1, 2020	LAKE FOREST, CA	Firm change

Relationships

Registered with (7)

→ I•••••••• A•••••••• L••Registered adviserregistration: current employment
Nov 3, 2025 to presentfactForm ADV
→ L••• S••••• A•••••••• L••Registered adviserregistration: previous registration
May 1, 2020 to Nov 3, 2025factForm ADV
→ M• H••••••• S••••••••• I•••Registered adviserregistration: previous registration
Jun 30, 2010 to May 4, 2020factForm ADV
→ V••••••••• F•••••••• A•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0a05c1a1-50eb-2a27-ba66-fcc4a164c584
First observed: May 11, 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.