DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)42 years in industry

C••••• R•••• F•••

Advisor at P•••••••• F•••••••• S•••••••

LOS ANGELES, CA | Fresno, CA

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Search this name across graphsid dfx:ria:66c7f0b8-30b3-a27a-9a5b-d049ec5f5b06

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Nov 30, 1998 to Sep 15, 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: P•••••••• F•••••••• S•••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Aug 1, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P•••••••• F•••••••• S•••••••	Independent wealth	Jan 30, 2023	n/a	yes	LOS ANGELES, CA\|Fresno, CA	Current employment
F••• F•••••••• G••••	Former SEC adviser	Jan 3, 2017	May 12, 2023	no	FRESNO, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F••• F•••••••• G••••	P•••••••• F•••••••• S•••••••	May 12, 2023	Jan 30, 2023	-102	Firm change after gap	RIA to RIA
S••••• S••••••••• C•••••••••	F••• F•••••••• G••••	Sep 10, 2002	Jan 3, 2017

Team moves

••• Locked

Team	Left	Joined	From	Kind
284977:286477:CA:2023-05-12	May 12, 2023	Jan 30, 2023	FRESNO, CA	Firm change after gap

Relationships

Registered with (3)

→ P•••••••• F•••••••• S•••••••Registered adviserregistration: current employment
Jan 30, 2023 to presentfactForm ADV
→ F••• F•••••••• G••••Registered adviserregistration: previous registration
Jan 3, 2017 to May 12, 2023factForm ADV
→ S••••• S••••••••• C•••••••••Registered adviserregistration: previous registration
Nov 30, 1998 to Sep 10, 2002factForm ADV

Dated events

Occurred
May 12, 2023
Advisor changed firm
C••••• R•••• F••• left F••• F•••••••• G•••• for P•••••••• F•••••••• S••••••• (registered 2023-01-30)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:66c7f0b8-30b3-a27a-9a5b-d049ec5f5b06
First observed: Nov 30, 1998
Last observed: Sep 15, 2026 7 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.