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

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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

S••••••• D• S•••••

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

WALNUT, CA | WEST COVINA, CA

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Search this name across graphsid dfx:ria:57851ba2-4ad7-e18a-f1aa-18e9c2953498

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Nov 28, 2005 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 26, 2005earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Aug 10, 2023	n/a	yes	WEST COVINA, CA\|WALNUT, CA	Current employment
S••••••• F•••••••• S•••••••• I•••	Former SEC adviser	Mar 11, 2022	Aug 10, 2023	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••• F•••••••• S•••••••• I•••	C••••• I••••••••• A••••••• L••	Aug 10, 2023	Aug 10, 2023	0	Bulk transfer	RIA to ibd
P•••• S••••••••• L••	S••••••• F•••••••• S•••••••• I•••	Mar 4, 2022

Relationships

Registered with (6)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Aug 10, 2023 to presentfactForm ADV
→ S••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Mar 11, 2022 to Aug 10, 2023factForm ADV
→ P•••• S••••••••• L••Registered adviserregistration: previous registration
Nov 11, 2016 to Mar 4, 2022factForm ADV
→ M•• F•••••••• S•••••••• I•••

Dated events

Occurred
Mar 4, 2022
Advisor changed firm
S••••••• D• S••••• left P•••• S••••••••• L•• for S••••••• F•••••••• S•••••••• I••• (registered 2022-03-11)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:57851ba2-4ad7-e18a-f1aa-18e9c2953498
First observed: Nov 28, 2005
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.