DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner|Personal Financial Specialistdual registered (broker-dealer)15 years in industry

M•••••• S••••

Advisor at C••••• I••••••••• A••••••• L••

WEST COVINA, CA | LOS ANGELES, CA

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Search this name across graphsid dfx:ria:5615af47-60f5-a811-8188-323ce143d384

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Sep 22, 2011 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: C••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 7, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	May 17, 2024	n/a	yes	LOS ANGELES, CA\|WEST COVINA, CA	Current employment
P••• A••••••• I••••••••• A•••••••• I•••	Independent wealth	Sep 9, 2022	Sep 27, 2022	no	PLANO, TX\|Los Angeles, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P••• A••••••• I••••••••• A•••••••• I•••	C••••• I••••••••• A••••••• L••	Sep 27, 2022	May 17, 2024	598	Firm change after gap	RIA to ibd
T•••• S••••••••• L••	P••• A••••••• I••••••••• A•••••••• I•••	Jul 23, 2021	Sep 9, 2022

Relationships

Registered with (5)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
May 17, 2024 to presentfactForm ADV
→ P••• A••••••• I••••••••• A•••••••• I•••Registered adviserregistration: previous registration
Sep 9, 2022 to Sep 27, 2022factForm ADV
→ T•••• S••••••••• L••Registered adviserregistration: previous registration
Jun 3, 2021 to Jul 23, 2021factForm ADV
→ M•• I•••••••• S•••••••• L••

Dated events

Occurred
Sep 27, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5615af47-60f5-a811-8188-323ce143d384
First observed: Sep 22, 2011
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.