DFX Intelligence

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

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RIA / WealthAdvisor28 years in industry

D••••• L•••• C••••

Advisor at T••••• W••••• P•••••••• L••

IRVINE, 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, 3:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jun 28, 2000 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: T••••• W••••• P•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Dec 23, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
T••••• W••••• P•••••••• L••	Independent wealth	May 28, 2021	n/a	yes	IRVINE, CA	Current employment
S•••••• N••••••• • C••••••• I•••••••••	National bd RIA	Aug 17, 2016	Jun 7, 2021	no	NEWPORT BEACH, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••• N••••••• • C••••••• I•••••••••	T••••• W••••• P•••••••• L••	Jun 7, 2021	May 28, 2021	-10	Firm change	Ibd to RIA
A••••••••• F•••••••• S•••••••• L••	S•••••• N••••••• • C••••••• I•••••••••	Aug 26, 2016	Aug 17, 2016

Relationships

Registered with (6)

→ T••••• W••••• P•••••••• L••Registered adviserregistration: current employment
May 28, 2021 to presentfactForm ADV
→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: previous registration
Aug 17, 2016 to Jun 7, 2021factForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Oct 5, 2009 to Aug 26, 2016factForm ADV
→ A••••••••• A•••••• S•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 28, 2000
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.