DFX Intelligence

S••••• D•••• C•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor29 years in industry

S••••• D•••• C•••••••

Advisor at L•••

Los Angeles, CA | LOS ANGELES, CA

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Search this name across graphsid dfx:ria:6aa2ab31-d2df-0366-de0b-1dfd6ca37b07

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jan 28, 1997 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: L•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 21, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•••	Independent wealth	Dec 15, 2025	n/a	yes	Los Angeles, CA\|LOS ANGELES, CA	Current employment
S••••• C••••••• • A••••••••• I•••	Former SEC adviser	Jun 19, 2012	Apr 1, 2026	no	RANCHO PALOS VERDES, CA\|Palos Verdes Estates, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••• C••••••• • A••••••••• I•••	L•••	Apr 1, 2026	Dec 15, 2025	-107	Firm change after gap	RIA to RIA

Team moves

••• Locked

Team	Left	Joined	From	Kind
112105:269866:CA:2026-04-01	Apr 1, 2026	Dec 15, 2025	PALOS VERDES ESTATES, CA	Firm change after gap

Relationships

Registered with (2)

→ L•••Registered adviserregistration: current employment
Dec 15, 2025 to presentfactForm ADV
→ S••••• C••••••• • A••••••••• I•••Registered adviserregistration: previous registration
Jun 19, 2012 to Apr 1, 2026factForm ADV

Dated events

Occurred
Apr 1, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6aa2ab31-d2df-0366-de0b-1dfd6ca37b07
First observed: Jan 28, 1997
Last observed: Sep 15, 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.