DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

P•••••• C•••••• D• R••••

Advisor at S••••• A•••••••• L••

SAN DIEGO, CA | Costa Mesa, CA

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Search this name across graphsid dfx:ria:0f9207f2-94b1-3369-04c7-ae886257dc1c

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Apr 20, 2005 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••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Oct 1, 2004earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• A•••••••• L••	Independent wealth	Feb 23, 2024	n/a	yes	SAN DIEGO, CA\|Costa Mesa, CA	Current employment
M•• I•••••••• S•••••••• L••	Bd affiliated wealth	Mar 25, 2017	Mar 8, 2024	no	Costa Mesa, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•• I•••••••• S•••••••• L••	S••••• A•••••••• L••	Mar 8, 2024	Feb 23, 2024	-14	Bulk transfer	Ibd to new firm
M•• F•••••••• S•••••••• I•••	M•• I•••••••• S•••••••• L••	Mar 25, 2017	Mar 25, 2017

Relationships

Registered with (3)

→ S••••• A•••••••• L••Registered adviserregistration: current employment
Feb 23, 2024 to presentfactForm ADV
→ M•• I•••••••• S•••••••• L••Registered adviserregistration: previous registration
Mar 25, 2017 to Mar 8, 2024factForm ADV
→ M•• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Apr 20, 2005 to Mar 25, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0f9207f2-94b1-3369-04c7-ae886257dc1c
First observed: Apr 20, 2005
Last observed: Sep 15, 2026 7 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.