DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)37 years in industry

D•••• R••••• L••

Advisor at S•••••• N••••••• • C••••••• I•••••••••

SAN DIEGO, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 3:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 8, 1997 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: S•••••• N••••••• • C••••••• I•••••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Dec 8, 1988earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• N••••••• • C••••••• I•••••••••	National bd RIA	Feb 6, 2012	n/a	yes	SAN DIEGO, CA	Current employment
W•••• F•••• A•••••••	Wirehouse	Jan 1, 2008	Feb 6, 2012	no	SAN DIEGO, CA\|SAN DIEGO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	S•••••• N••••••• • C••••••• I•••••••••	Feb 6, 2012	Feb 6, 2012	0	Firm change	Wirehouse to ibd
A• G• E•••••• • S•••• I•••	W•••• F•••• A•••••••	Jan 1, 2008	Jan 1, 2008

Relationships

Registered with (4)

→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: current employment
Feb 6, 2012 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jan 1, 2008 to Feb 6, 2012factForm ADV
→ A• G• E•••••• • S•••• I•••Registered adviserregistration: previous registration
Dec 1, 2006 to Jan 1, 2008factForm ADV
→ M••••• S•••••• D• I•••Registered adviserregistration: previous registration

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jul 8, 1997
Last observed: Sep 14, 2026 10 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.