DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisor40 years in industry

T••••• T•••••• W••••••

Advisor at F•••• L•••• R••••••••• L••

DEL MAR, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:40f6870a-75cf-0d5d-c228-8861fc89f2f5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jul 8, 1997 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•••• L•••• R••••••••• L••
Current firm class: institutional managerderived
Book size: not public••• Locked
Industry start: Mar 27, 1986earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
F•••• L•••• R••••••••• L••	Institutional manager	Jun 10, 2021	n/a	yes	DEL MAR, CA	Current employment
W•••• F•••• A•••••••	Wirehouse	Jun 29, 2007	Jun 1, 2021	no	SAN DIEGO, CA\|RANCHO SANTA FE, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	F•••• L•••• R••••••••• L••	Jun 1, 2021	Jun 10, 2021	9	Firm change	Wirehouse to new firm
C•••••••• G••••• M•••••• I•••	W•••• F•••• A•••••••	Jul 18, 2007	Jun 29, 2007

Team moves

••• Locked

Team	Left	Joined	From	Kind
19616:314509:CA:2021-06-01	Jun 1, 2021	Jun 10, 2021	RANCHO SANTA FE, CA	Firm change

Relationships

Registered with (3)

→ F•••• L•••• R••••••••• L••Registered adviserregistration: current employment
Jun 10, 2021 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jun 29, 2007 to Jun 1, 2021factForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
Jul 8, 1997 to Jul 18, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:40f6870a-75cf-0d5d-c228-8861fc89f2f5
First observed: Jul 8, 1997
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.