DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner12 years in industry

L•••••• S••• W••••••• R••••••

Advisor at A••••• W••••• P•••••••

SANTA MONICA, CA | Santa Fe, NM

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Search this name across graphsid dfx:ria:3645396a-f4f5-c7c2-cf6a-e2888b82615b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:36 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 1
Observed: May 5, 2014 to Sep 14, 2026

Across DFX

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

Private Equityidentity

L•••••• S••• W•••••••

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: A••••• W••••• P•••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: May 2, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••• W••••• P•••••••	Independent wealth	Aug 30, 2017	n/a	yes	SANTA MONICA, CA\|Santa Fe, NM	Current employment
D••••••••• F••• A••••••• L•	Asset manager	Dec 19, 2016	Jul 6, 2017	no	SANTA MONICA, CA\|AUSTIN, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
D••••••••• F••• A••••••• L•	A••••• W••••• P•••••••	Jul 6, 2017	Aug 30, 2017	55	Firm change	Other
T•••••••• I••••••••• M••••••••• I••	D••••••••• F••• A••••••• L•	Jan 5, 2016	Dec 19, 2016

Relationships

Registered with (3)

→ A••••• W••••• P•••••••Registered adviserregistration: current employment
Aug 30, 2017 to presentfactForm ADV
→ D••••••••• F••• A••••••• L•Registered adviserregistration: previous registration
Dec 19, 2016 to Jul 6, 2017factForm ADV
→ T•••••••• I••••••••• M••••••••• I••Registered adviserregistration: previous registration
May 5, 2014 to Jan 5, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3645396a-f4f5-c7c2-cf6a-e2888b82615b
First observed: May 5, 2014
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.