DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

A•••••••• A••••• L•••••••

Advisor at S•••••••• R•••••••• C•••••• M••••••••• L••

NEWPORT BEACH, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:6245294e-1d86-6a44-c6cc-d482d6e9db85

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Jul 25, 2024 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: S•••••••• R•••••••• C•••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• R•••••••• C•••••• M••••••••• L••	Independent wealth	Nov 12, 2025	n/a	yes	NEWPORT BEACH, CA	Current employment
M•• I•••••••• S•••••••• L••	Bd affiliated wealth	Jul 25, 2024	Nov 4, 2025	no	LA JOLLA, CA\|Costa Mesa, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•• I•••••••• S•••••••• L••	S•••••••• R•••••••• C•••••• M••••••••• L••	Nov 4, 2025	Nov 12, 2025	8	Firm change	Ibd to RIA

Team moves

••• Locked

Team	Left	Joined	From	Kind
10409:144069:CA:2025-11-04	Nov 4, 2025	Nov 12, 2025	COSTA MESA, CA	Firm change

Relationships

Registered with (2)

→ S•••••••• R•••••••• C•••••• M••••••••• L••Registered adviserregistration: current employment
Nov 12, 2025 to presentfactForm ADV
→ M•• I•••••••• S•••••••• L••Registered adviserregistration: previous registration
Jul 25, 2024 to Nov 4, 2025factForm ADV

Dated events

Occurred
Nov 4, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6245294e-1d86-6a44-c6cc-d482d6e9db85
First observed: Jul 25, 2024
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.