DFX Intelligence

A•••• C••••••• M••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor54 years in industry

A•••• C••••••• M••••

Advisor at D••••••• A••••••••• I••

SANTA BARBARA, CA

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Search this name across graphsid dfx:ria:4bac94d3-5fb5-ee9b-a77f-db17d7f807dd

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Nov 4, 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: D••••••• A••••••••• I••
Current firm class: former SEC adviserderived
Book size: not public••• Locked
Industry start: Feb 1, 1972earliest registration or exam on IAPD
Years in industry: 54derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
D••••••• A••••••••• I••	Former SEC adviser	Sep 13, 2017	n/a	yes	SANTA BARBARA, CA	Current employment
D••••••• A••••••••• I••	Former SEC adviser	Nov 4, 2003	Sep 12, 2017	no	SANTA BARBARA, CA	Previous registration

Relationships

Registered with (1)

→ D••••••• A••••••••• I••Registered adviserregistration: previous registration
Nov 4, 2003 to Sep 12, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4bac94d3-5fb5-ee9b-a77f-db17d7f807dd
First observed: Nov 4, 2003
Last observed: Sep 14, 2026 9 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.