DFX Intelligence

R••••• O•••••• C••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor32 years in industry

R••••• O•••••• C••••••••

Advisor at S••••••••• W•••••

Carlsbad, CA | SUMMIT, NJ

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Search this name across graphsid dfx:ria:3ae296c4-35c6-a270-28f4-3fee630aaff6

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jun 30, 1999 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: S••••••••• W•••••
Current firm class: mixed wealth managerderived
Book size: not public••• Locked
Industry start: Jan 1, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom 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
S••••••••• W•••••	Mixed wealth	Feb 13, 2025	n/a	yes	Carlsbad, CA\|SUMMIT, NJ	Current employment
L•••••• A•••• M•••••••••	Former SEC adviser	Apr 18, 2017	Feb 14, 2025	no	SAN DIEGO, CA\|Carlsbad, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•••••• A•••• M•••••••••	S••••••••• W•••••	Feb 14, 2025	Feb 13, 2025	-1	Bulk transfer	Other
F•••••••• E••••• S•••••••• I•••	L•••••• A•••• M•••••••••	Dec 13, 2011	Apr 18, 2017

Relationships

Registered with (5)

→ S••••••••• W•••••Registered adviserregistration: current employment
Feb 13, 2025 to presentfactForm ADV
→ L•••••• A•••• M•••••••••Registered adviserregistration: previous registration
Apr 18, 2017 to Feb 14, 2025factForm ADV
→ F•••••••• E••••• S•••••••• I•••Registered adviserregistration: previous registration
Dec 23, 2008 to Dec 13, 2011factForm ADV
→ N••• F•••••••• G••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3ae296c4-35c6-a270-28f4-3fee630aaff6
First observed: Jun 30, 1999
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.