DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner42 years in industry

M•••••• W••••• M•••••••

Advisor at R•••• I••••••••• A••••••• L••

KENTWOOD, MI | FOUNTAIN VALLEY, CA

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Search this name across graphsid dfx:ria:0acc88a6-03b2-990e-1e35-a0ac24f79a17

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: May 12, 1998 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•••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Apr 25, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•••• I••••••••• A••••••• L••	Bd affiliated wealth	Jul 1, 2013	n/a	yes	FOUNTAIN VALLEY, CA\|KENTWOOD, MI	Current employment
F•••••••• A••••••• O• A••••••• L••	Former SEC adviser	Apr 19, 2010	Apr 22, 2013	no	CARLSBAD, CA\|CARLSBAD, CA\|SANTA ANA, CA\|FOUNTAIN VALLEY, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••••••• A••••••• O• A••••••• L••	R•••• I••••••••• A••••••• L••	Apr 22, 2013	Jul 1, 2013	70	Firm change	Other
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	F•••••••• A••••••• O• A••••••• L••	Apr 16, 2010	Apr 19, 2010

Relationships

Registered with (6)

→ R•••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Jul 1, 2013 to presentfactForm ADV
→ F•••••••• A••••••• O• A••••••• L••Registered adviserregistration: previous registration
Apr 19, 2010 to Apr 22, 2013factForm ADV
→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserregistration: previous registration
Jan 2, 2009 to Apr 16, 2010factForm ADV
→ R•••••• J•••• F•••••••• S•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0acc88a6-03b2-990e-1e35-a0ac24f79a17
First observed: May 12, 1998
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.