DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

S•••••• R••• B••••••••

Advisor at C•••••• W••••• S•••••••• L••

PALM DESERT, CA

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Search this name across graphsid dfx:ria:5992fd04-04f5-14d2-970e-f58e160cc255

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: May 28, 2004 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•••••• W••••• S•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Dec 19, 2003earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• W••••• S•••••••• L••	Independent wealth	Jul 19, 2017	n/a	yes	PALM DESERT, CA	Current employment
I••••••••• W••••• M••••••••• I•••	Former SEC adviser	May 5, 2014	Dec 31, 2017	no	PALM DESERT, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I••••••••• W••••• M••••••••• I•••	C•••••• W••••• S•••••••• L••	Dec 31, 2017	Jul 19, 2017	-165	Firm change after gap	Other
M••••• S••••••	I••••••••• W••••• M••••••••• I•••	May 7, 2014	May 5, 2014

Team moves

••• Locked

Team	Left	Joined	From	Kind
106335:288992:CA:2017-12-31	Dec 31, 2017	Jul 19, 2017	PALM DESERT, CA	Firm change after gap

Relationships

Registered with (5)

→ C•••••• W••••• S•••••••• L••Registered adviserregistration: current employment
Jul 19, 2017 to presentfactForm ADV
→ I••••••••• W••••• M••••••••• I•••Registered adviserregistration: previous registration
May 5, 2014 to Dec 31, 2017factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to May 7, 2014factForm ADV
→ M••••• S•••••• • C•• L••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5992fd04-04f5-14d2-970e-f58e160cc255
First observed: May 28, 2004
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.