DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)32 years in industry

V•••••• T•••••

Advisor at R•• S••••••••• I•••

••• Locked

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Search this name across graphsid dfx:ria:43512ed7-4308-56ff-67ae-f4b5b4b5c009

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Feb 17, 2006 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: Apr 8, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 16derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•• S••••••••• I•••	Bd affiliated wealth	Apr 15, 2010	n/a	yes	Pasadena, CA\|Los Angeles, CA\|Torrance, CA\| Los Angeles, CA\|Commerce, CA\|GLENDALE, CA\|Los Angeles, CA\|West Hollywood, CA\|Yorba Linda, CA	Current employment
C•••• I••••••••• S••••••• C••••	Former SEC adviser	May 2, 2009	Apr 8, 2010	no

Moves

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From	To	Left	Joined	Gap, days	Kind	Move type
C•••• I••••••••• S••••••• C••••	R•• S••••••••• I•••	Apr 8, 2010	Apr 15, 2010	7	Firm change	Other
W••• I••••••••• I•••	C•••• I••••••••• S••••••• C••••	May 2, 2009	May 2, 2009

Relationships

Registered with (3)

→ R•• S••••••••• I•••Registered adviserregistration: current employment
Apr 15, 2010 to presentfactForm ADV
→ C•••• I••••••••• S••••••• C••••Registered adviserregistration: previous registration
May 2, 2009 to Apr 8, 2010factForm ADV
→ W••• I••••••••• I•••Registered adviserregistration: previous registration
Feb 17, 2006 to May 2, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:43512ed7-4308-56ff-67ae-f4b5b4b5c009
First observed: Feb 17, 2006
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.