DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

L••• C•••••• S•••••

Advisor at U•• F•••••••• S••••••• I•••

IRVINE, CA | Aliso Viejo, CA

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Search this name across graphsid dfx:ria:0a7d916f-378b-9643-f3a3-9819fbc40659

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: May 4, 2004 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: U•• F•••••••• S••••••• I•••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Mar 8, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U•• F•••••••• S••••••• I•••	Wirehouse	Sep 15, 2022	n/a	yes	Aliso Viejo, CA\|IRVINE, CA	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Jul 13, 2009	Sep 22, 2022	no	NEWPORT BEACH, CA\|NEWPORT BEACH, CA\|NEWPORT BEACH, CA\|NEWPORT BEACH, CA\|NEWPORT BEACH, CA\|IRVINE, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	U•• F•••••••• S••••••• I•••	Sep 22, 2022	Sep 15, 2022	-7	Firm change	Wirehouse to wirehouse
M••••• S••••••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Jul 30, 2009	Jul 13, 2009

Team moves

••• Locked

Team	Left	Joined	From	Kind
7691:8174:CA:2022-08-23	Sep 22, 2022	Sep 15, 2022	IRVINE, CA	Firm change

Relationships

Registered with (4)

→ U•• F•••••••• S••••••• I•••Registered adviserregistration: current employment
Sep 15, 2022 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Jul 13, 2009 to Sep 22, 2022factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to Jul 30, 2009factForm ADV
→ C•••••••• G••••• M•••••• I•••

Dated events

Occurred
Sep 22, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0a7d916f-378b-9643-f3a3-9819fbc40659
First observed: May 4, 2004
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.