DFX Intelligence

Data Factory

D•••• G•••• P•••••: 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)23 years in industry

D•••• G•••• P•••••

Advisor at T•• A•••••••• I•••

Woodland Hills, CA | SUMMIT, NJ

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:62edc323-ded2-656b-310e-8542dd1bc23e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Sep 27, 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: T•• A•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 3, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
T•• A•••••••• I•••	Bd affiliated wealth	Nov 3, 2017	n/a	yes	SUMMIT, NJ\|Woodland Hills, CA	Current employment
R•••• I••••••••• A••••••• L••	Bd affiliated wealth	Apr 26, 2017	Nov 3, 2017	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
R•••• I••••••••• A••••••• L••	T•• A•••••••• I•••	Nov 3, 2017	Nov 3, 2017	0	Firm change	Other
C•••••••• I••••••••• R••••••• A•••••••• I•••	R•••• I••••••••• A••••••• L••	May 2, 2017

Relationships

Registered with (7)

→ T•• A•••••••• I•••Registered adviserregistration: current employment
Nov 3, 2017 to presentfactForm ADV
→ R•••• I••••••••• A••••••• L••Registered adviserregistration: previous registration
Apr 26, 2017 to Nov 3, 2017factForm ADV
→ C•••••••• I••••••••• R••••••• A•••••••• I•••Registered adviserregistration: previous registration
Feb 16, 2012 to May 2, 2017factForm ADV
→ W•••• F•••• A•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:62edc323-ded2-656b-310e-8542dd1bc23e
First observed: Sep 27, 2004
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.