DFX Intelligence

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

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

D•••• E•••••• M•••••••

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

NEWPORT BEACH, CA | Newport Beach, CA

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Search this name across graphsid dfx:ria:5e909f61-2384-2f6d-0f6a-38b440e9e15f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jan 11, 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: I••••••••• A•••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Nov 1, 2003earliest registration or exam on IAPD
Years in industry: 22derivedfrom 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
I••••••••• A•••••• A•••••••• L••	I•••••••••_WEALTH	Dec 16, 2024	n/a	yes	Newport Beach, CA	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Sep 25, 2009	n/a	yes	NEWPORT BEACH, CA	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P••••••• W••••• M••••••••• G••••	I••••••••• A•••••• A•••••••• L••	Mar 28, 2025	Dec 16, 2024	-102	Firm change after gap	RIA to RIA
A••••••••• P••••••• I••••••••• A••••••• I••	L•• F•••••••• L••	Oct 13, 2009	Sep 25, 2009

Team moves

••• Locked

Team	Left	Joined	From	Kind
279037:168267:CA:2025-03-28	Mar 28, 2025	Dec 16, 2024	NEWPORT BEACH, CA	Firm change after gap

Relationships

Registered with (4)

→ I••••••••• A•••••• A•••••••• L••Registered adviserregistration: current employment
Dec 16, 2024 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: current employment
Sep 25, 2009 to presentfactForm ADV
→ P••••••• W••••• M••••••••• G••••Registered adviserregistration: previous registration
May 18, 2021 to Mar 28, 2025factForm ADV
→ A••••••••• P••••••• I••••••••• A••••••• I••

Dated events

Occurred
Mar 28, 2025
A•••••• firm change
D•••• E•••••• M••••••• left P••••••• W••••• M••••••••• G•••• for I••••••••• A•••••• A•••••••• L•• (registered 2024-12-16)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5e909f61-2384-2f6d-0f6a-38b440e9e15f
First observed: Jan 11, 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.