DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)45 years in industry

C•••••• E••••• P••••••

Advisor at P••••••• F•••••••• S•••••••• I•••

Redlands, CA

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Search this name across graphsid dfx:ria:17ad7cd1-b47f-fbbd-bae0-f9e40726c3e2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Jul 31, 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: P••••••• F•••••••• S•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 14, 1981earliest registration or exam on IAPD
Years in industry: 45derivedfrom 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
P••••••• F•••••••• S•••••••• I•••	Bd affiliated wealth	Jan 22, 2024	n/a	yes	Redlands, CA	Current employment
P••••••• S•••• A•• A••••• I•••	Former SEC adviser	Feb 16, 2024	Jun 21, 2024	no	REDLANDS, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P••••••• S•••• A•• A••••• I•••	n/a	Jun 21, 2024	n/a	n/a	Departure no registered destination	Departure
P••••••• S•••• A•• A••••• I•••	P••••••• F•••••••• S•••••••• I•••	Jan 19, 2024	Jan 22, 2024	3

Team moves

••• Locked

Team	Left	Joined	From	Kind
10865:10740:CA:2024-01-17	Jan 19, 2024	Jan 22, 2024	REDLANDS, CA	Firm change

Relationships

Registered with (2)

→ P••••••• F•••••••• S•••••••• I•••Registered adviserregistration: current employment
Jan 22, 2024 to presentfactForm ADV
→ P••••••• S•••• A•• A••••• I•••Registered adviserregistration: previous registration
Feb 16, 2024 to Jun 21, 2024factForm ADV

Dated events

Occurred
Jun 21, 2024
Advisor departed, no destination yet
••• Locked
Form ADVobserved 7 days ago
Occurred
Jan 19, 2024
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:17ad7cd1-b47f-fbbd-bae0-f9e40726c3e2
First observed: Jul 31, 1997
Last observed: Sep 14, 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.