DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)40 years in industry

R•••••• F•••••• D•••

Advisor at C•••••• S••••• • C••• I•••

Newport Beach, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 12:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 8, 1997 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•••••• S••••• • C••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Dec 20, 1985earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• S••••• • C••• I•••	National bd RIA	Jan 25, 2022	n/a	yes	Newport Beach, CA	Current employment
T• A••••••••• I••••••••• M••••••••• L••	Former SEC adviser	Oct 1, 2014	Sep 7, 2023	no	BEVERLY HILLS, CA\|Irvine, CA\|Irvine, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T• A••••••••• I••••••••• M••••••••• L••	C•••••• S••••• • C••• I•••	Sep 7, 2023	Jan 25, 2022	-590	Bulk transfer	RIA to ibd
T• A••••••••• I•••	T• A••••••••• I••••••••• M••••••••• L••	Oct 14, 2022	Oct 1, 2014

Relationships

Registered with (3)

→ C•••••• S••••• • C••• I•••Registered adviserregistration: previous registration
Jul 8, 1997 to May 16, 2014factForm ADV
→ T• A••••••••• I••••••••• M••••••••• L••Registered adviserregistration: previous registration
Oct 1, 2014 to Sep 7, 2023factForm ADV
→ T• A••••••••• I•••Registered adviserregistration: previous registration
Oct 1, 2014 to Oct 14, 2022factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jul 8, 1997
Last observed: Sep 14, 2026 10 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.