DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

B•••• A• A•••••••• G•••••

Advisor at R•••••• J•••• • A••••••••• I•••

Pasadena, CA

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Search this name across graphs

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Sep 6, 2000 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: R•••••• J•••• • A••••••••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Feb 5, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•••••• J•••• • A••••••••• I•••	National bd RIA	May 20, 2025	n/a	yes	Pasadena, CA	Current employment
U•• F•••••••• S••••••• I•••	Wirehouse	Mar 23, 2011	Jun 9, 2025	no	Los Angeles, CA\|LOS ANGELES, CA\|PASADENA, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•• F•••••••• S••••••• I•••	R•••••• J•••• • A••••••••• I•••	Jun 9, 2025	May 20, 2025	-20	Firm change	Wirehouse to ibd
M••••• S••••••	U•• F•••••••• S••••••• I•••	Apr 5, 2011	Mar 23, 2011

Team moves

••• Locked

Team	Left	Joined	From	Kind
8174:705:CA:2025-05-27	Jun 9, 2025	May 20, 2025	PASADENA, CA	Firm change

Relationships

Registered with (4)

→ R•••••• J•••• • A••••••••• I•••Registered adviserregistration: current employment
May 20, 2025 to presentfactForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Mar 23, 2011 to Jun 9, 2025factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to Apr 5, 2011factForm ADV
→ C•••••••• G••••• M•••••• I•••

Dated events

Order

Occurred
9 Jun 2025
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Sep 6, 2000
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.