DFX Intelligence

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

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RIA / WealthAdvisor29 years in industry

S•••••• A••••• B••••

Advisor at E•••••• F•••••••• E••••••

SIERRA MADRA, CA

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Search this name across graphsid dfx:ria:60fa6fdc-2f59-b3b4-2495-6a925dc5c6a8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Apr 23, 2019 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: E•••••• F•••••••• E••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Mar 31, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
E•••••• F•••••••• E••••••	Independent wealth	Apr 25, 2025	n/a	yes	SIERRA MADRA, CA	Current employment
C••• F•••••••• S•••••••• L•••	Former SEC adviser	Jan 13, 2023	Jan 15, 2025	no	Anaheim, CA\|SAN DIEGO, CA\|Anaheim, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••• F•••••••• S•••••••• L•••	E•••••• F•••••••• E••••••	Jan 15, 2025	Apr 25, 2025	100	Firm change	Ibd to RIA
W••••• F•••••••• S•••••••• L••	C••• F•••••••• S•••••••• L•••	Feb 6, 2023	Jan 13, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
125650:42132:CA:2023-02-06	Feb 6, 2023	Jan 13, 2023	ANAHEIM, CA	Firm change

Relationships

Registered with (3)

→ E•••••• F•••••••• E••••••Registered adviserregistration: current employment
Apr 25, 2025 to presentfactForm ADV
→ C••• F•••••••• S•••••••• L•••Registered adviserregistration: previous registration
Jan 13, 2023 to Jan 15, 2025factForm ADV
→ W••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Apr 23, 2019 to Feb 6, 2023factForm ADV

Dated events

Occurred
Jan 15, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 6, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:60fa6fdc-2f59-b3b4-2495-6a925dc5c6a8
First observed: Apr 23, 2019
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.