DFX Intelligence

T••• A•••• R••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Analystdual registered (broker-dealer)26 years in industry

T••• A•••• R••••••

Advisor at S••••• F••••••••• L••

NEWPORT BEACH, CA

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Search this name across graphsid dfx:ria:274fe0ef-bd34-8c23-3b2b-f6221e0d9639

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:36 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 1
Observed: Sep 25, 2002 to Sep 14, 2026

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

T••• A•••• R••••••

same person, same CRD on Schedule A · confidence 95% · family precision 100%

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: S••••• F••••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 1, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 7

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• F••••••••• L••	Bd affiliated wealth	Jul 8, 2025	n/a	yes	NEWPORT BEACH, CA	Current employment
A•••• C•••• I••••••••• L••	Former SEC adviser	Jul 8, 2016	Aug 25, 2016	no	Reno, NV\|COSTA MESA, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• C•••••• P•••••••	W••• A•••••••••	Sep 30, 2025	Jun 6, 2011	-5,230	Firm change after gap	Other
A•••• C•••• I••••••••• L••	S••••• F••••••••• L••	Aug 25, 2016	Jul 8, 2025

Relationships

Registered with (8)

→ S••••• F••••••••• L••Registered adviserregistration: current employment
Jul 8, 2025 to presentfactForm ADV
→ C•••••• C•••••• P•••••••Registered adviserregistration: previous registration
Sep 3, 2010 to Sep 30, 2025factForm ADV
→ A•••• C•••• I••••••••• L••Registered adviserregistration: previous registration
Jul 8, 2016 to Aug 25, 2016factForm ADV
→ O•••• W•••••• I•••

Dated events

Occurred
Sep 30, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:274fe0ef-bd34-8c23-3b2b-f6221e0d9639
First observed: Sep 25, 2002
Last observed: Sep 14, 2026 9 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.