DFX Intelligence

N••• E•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)14 years in industry

N••• E•••••

Advisor at R•• S••••••••• I•••

••• Locked

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Search this name across graphsid dfx:ria:36bc7aad-1ada-0c3d-5905-a52f6ccf558a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Aug 1, 2012 to Sep 15, 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: R•• S••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 1, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•• S••••••••• I•••	Bd affiliated wealth	Jan 17, 2025	n/a	yes	Woodland Hills, CA\|LOS ANGELES, CA\|Los Angeles, CA	Current employment
J••• M••••• S••••••••• L••	Wirehouse	Jun 10, 2022	Nov 23, 2024	no	SANTA MONICA, CA\|LOS ANGELES, CA\|LOS ANGELES, CA\|LOS ANGELES, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
J••• M••••• S••••••••• L••	R•• S••••••••• I•••	Nov 23, 2024	Jan 17, 2025	55	Firm change	Wirehouse to RIA
R•• S••••••••• I•••	J••• M••••• S••••••••• L••	Jun 6, 2022	Jun 10, 2022

Relationships

Registered with (4)

→ R•• S••••••••• I•••Registered adviserregistration: previous registration
Feb 5, 2020 to Jun 6, 2022factForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
Jun 10, 2022 to Nov 23, 2024factForm ADV
→ R•• R•••••••• L••Registered adviserregistration: previous registration
Mar 6, 2014 to Oct 31, 2016factForm ADV
→ V•••• F•••••••• A•••••••• I•••

Dated events

Occurred
Nov 23, 2024
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Jun 6, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:36bc7aad-1ada-0c3d-5905-a52f6ccf558a
First observed: Aug 1, 2012
Last observed: Sep 15, 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.