DFX Intelligence

S•••• R•••••• M•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

S•••• R•••••• M•••••

Advisor at C••••••••• P•••••••• R••••• C•••

••• Locked

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Search this name across graphsid dfx:ria:1facceef-6991-a9a0-825b-02ce66339778

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Oct 7, 2010 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: C••••••••• P•••••••• R••••• C•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Dec 18, 1993earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••••• P•••••••• R••••• C•••	Independent wealth	Sep 9, 2022	n/a	yes	Henderson, NV\|Prescott Valley, AZ\|WOODBURY, NY	Current employment
W•••••• I••••••••• S•••••••••	Former SEC adviser	Aug 21, 2017	Sep 8, 2022	no	Prescott Valley, AZ\|Henderson, NV\|Northridge, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••••• I••••••••• S•••••••••	C••••••••• P•••••••• R••••• C•••	Sep 8, 2022	Sep 9, 2022	1	Firm change	Ibd to RIA
F•••••••• W••• G••••	W•••••• I••••••••• S•••••••••	Aug 21, 2017	Aug 21, 2017

Relationships

Registered with (3)

→ C••••••••• P•••••••• R••••• C•••Registered adviserregistration: current employment
Sep 9, 2022 to presentfactForm ADV
→ W•••••• I••••••••• S•••••••••Registered adviserregistration: previous registration
Aug 21, 2017 to Sep 8, 2022factForm ADV
→ F•••••••• W••• G••••Registered adviserregistration: previous registration
Oct 7, 2010 to Aug 21, 2017factForm ADV

Dated events

Occurred
Sep 8, 2022
Advisor changed firm
S•••• R•••••• M••••• left W•••••• I••••••••• S••••••••• for C••••••••• P•••••••• R••••• C••• (registered 2022-09-09)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1facceef-6991-a9a0-825b-02ce66339778
First observed: Oct 7, 2010
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.