DFX Intelligence

A•••••••• L•••• F••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor19 years in industry

A•••••••• L•••• F••••••••

Advisor at F•••••••• I••••••••• A•••••••

SANTA BARBARA, CA

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Search this name across graphsid dfx:ria:3a3b547b-aafe-6347-8fe0-adc7461a04c8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 27, 2007 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: F•••••••• I••••••••• A•••••••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Sep 27, 2006earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
F•••••••• I••••••••• A•••••••	State registered	Mar 7, 2013	n/a	yes	SANTA BARBARA, CA	Current employment
I••••••••• F•••••••• G••••• L••	Bd affiliated wealth	Dec 12, 2008	Dec 20, 2011	no	SAN DIEGO, CA\|SAN DIEGO, CA\|MONTECITO, CA\|WESTLAKE VILLAGE, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I••••••••• F•••••••• G••••• L••	F•••••••• I••••••••• A•••••••	Dec 20, 2011	Mar 7, 2013	443	Firm change after gap	Other
E•••••••• A••••••• I••	I••••••••• F•••••••• G••••• L••	Dec 12, 2008	Dec 12, 2008

Relationships

Registered with (3)

→ F•••••••• I••••••••• A•••••••Registered adviserregistration: current employment
Mar 7, 2013 to presentfactForm ADV
→ I••••••••• F•••••••• G••••• L••Registered adviserregistration: previous registration
Dec 12, 2008 to Dec 20, 2011factForm ADV
→ E•••••••• A••••••• I••Registered adviserregistration: previous registration
Mar 27, 2007 to Dec 12, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3a3b547b-aafe-6347-8fe0-adc7461a04c8
First observed: Mar 27, 2007
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.