DFX Intelligence

S••••• C•••• B•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)42 years in industry

S••••• C•••• B•••••

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

Irvine, CA

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Search this name across graphsid dfx:ria:3541268f-1f9a-acf9-4e49-8c710d94e6d0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:44 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jul 29, 1999 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: Feb 9, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P••••••• F•••••••• S•••••••• I•••	Bd affiliated wealth	Sep 12, 2025	n/a	yes	Irvine, CA	Current employment
B• R•••• W••••• A•••••••• I•••	Bd affiliated wealth	Jul 28, 2022	Sep 16, 2025	no	Irvine, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B• R•••• W••••• A•••••••• I•••	P••••••• F•••••••• S•••••••• I•••	Sep 16, 2025	Sep 12, 2025	-4	Firm change	Ibd to ibd
B• R•••• W••••• M•••••••••	B• R•••• W••••• A•••••••• I•••	Dec 31, 2022	Jul 28, 2022

Team moves

••• Locked

Team	Left	Joined	From	Kind
115927:10740:CA:2025-09-16	Sep 16, 2025	Sep 12, 2025	IRVINE, CA	Firm change
11025:2543:CA:2020-08-10	Aug 10, 2020	Aug 7, 2020	IRVINE, CA	Firm change

Relationships

Registered with (6)

→ P••••••• F•••••••• S•••••••• I•••Registered adviserregistration: current employment
Sep 12, 2025 to presentfactForm ADV
→ B• R•••• W••••• A•••••••• I•••Registered adviserregistration: previous registration
Jul 28, 2022 to Sep 16, 2025factForm ADV
→ B• R•••• W••••• M•••••••••Registered adviserregistration: previous registration
Aug 7, 2020 to Dec 31, 2022factForm ADV
→ W•••• F•••• A•••••••

Dated events

Occurred
Sep 16, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3541268f-1f9a-acf9-4e49-8c710d94e6d0
First observed: Jul 29, 1999
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.