DFX Intelligence

S••••• T••••• H•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)36 years in industry

S••••• T••••• H•••••

Advisor at I••••••••• F•••••••• G••••• L••

Yucaipa, CA

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Search this name across graphsid dfx:ria:39c47311-1af1-b943-4053-c3de9fb2d942

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Oct 20, 2003 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: I••••••••• F•••••••• G••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 30, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
I••••••••• F•••••••• G••••• L••	Bd affiliated wealth	Jul 15, 2022	n/a	yes	Yucaipa, CA	Current employment
N•• F•••••••• G••••• L••	Former SEC adviser	Aug 10, 2009	Jul 15, 2022	no	Prescott Valley, AZ\|Yucaipa, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N•• F•••••••• G••••• L••	I••••••••• F•••••••• G••••• L••	Jul 15, 2022	Jul 15, 2022	0	Firm change	RIA to ibd
A••••••••• P••••••• I••••••••• A••••••• I••	A••••••••• S••••••••• C••••	Aug 12, 2009	Aug 1, 2006

Team moves

••• Locked

Team	Left	Joined	From	Kind
137743:7717:CA:2022-07-15	Jul 15, 2022	Jul 15, 2022	YUCAIPA, CA	Firm change

Relationships

Registered with (4)

→ I••••••••• F•••••••• G••••• L••Registered adviserregistration: current employment
Jul 15, 2022 to presentfactForm ADV
→ N•• F•••••••• G••••• L••Registered adviserregistration: previous registration
Aug 10, 2009 to Jul 15, 2022factForm ADV
→ A••••••••• P••••••• I••••••••• A••••••• I••Registered adviserregistration: previous registration
Oct 20, 2003 to Aug 12, 2009factForm ADV
→ A••••••••• S••••••••• C••••Registered adviserregistration: previous registration

Dated events

Occurred
Jul 15, 2022
Advisor changed firm
S••••• T••••• H••••• left N•• F•••••••• G••••• L•• for I••••••••• F•••••••• G••••• L•• (registered 2022-07-15)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:39c47311-1af1-b943-4053-c3de9fb2d942
First observed: Oct 20, 2003
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.