DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

E••• M••••• W•••••••

Advisor at T••• I••••••••• A•••••••• L••

LAGUNA NIGUEL, CA | Mission Viejo, CA

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Search this name across graphsid dfx:ria:13f1a8c1-753d-dccc-3063-ed8114f1c743

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:51 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Sep 2, 2008 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: T••• I••••••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Apr 21, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
T••• I••••••••• A•••••••• L••	Independent wealth	Apr 26, 2017	n/a	yes	LAGUNA NIGUEL, CA\|Mission Viejo, CA	Current employment
B••••• W••••• P•••••••• I•••	Independent wealth	Jan 18, 2017	Apr 28, 2017	no	Mission Viejo, CA\|SCOTTSDALE, AZ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••••• W••••• P•••••••• I•••	T••• I••••••••• A•••••••• L••	Apr 28, 2017	Apr 26, 2017	-2	Firm change	Other
G••••• S••••••••• I•••	A••• A•••••••• I•••	Dec 27, 2016	Sep 15, 2010

Relationships

Registered with (6)

→ T••• I••••••••• A•••••••• L••Registered adviserregistration: current employment
Apr 26, 2017 to presentfactForm ADV
→ B••••• W••••• P•••••••• I•••Registered adviserregistration: previous registration
Jan 18, 2017 to Apr 28, 2017factForm ADV
→ G••••• S••••••••• I•••Registered adviserregistration: previous registration
Jul 17, 2009 to Dec 27, 2016factForm ADV
→ A••• A•••••••• I•••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:13f1a8c1-753d-dccc-3063-ed8114f1c743
First observed: Sep 2, 2008
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.