DFX Intelligence

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

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

R•••••• A•••••• R•••

Advisor at B••••• W••••• P•••••••• I•••

SCOTTSDALE, AZ | Newport Beach, CA

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Search this name across graphsid dfx:ria:6fea0f9d-f25f-7ade-9b2b-5202a22ad81c

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:36 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: May 15, 2001 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: B••••• W••••• P•••••••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Sep 8, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
B••••• W••••• P•••••••• I•••	Independent wealth	May 1, 2024	n/a	yes	Newport Beach, CA\|SCOTTSDALE, AZ	Current employment
W••••• M••••••••• S••••••••• L••	Former SEC adviser	May 20, 2021	May 1, 2024	no	NEWPORT BEACH, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W••••• M••••••••• S••••••••• L••	B••••• W••••• P•••••••• I•••	May 1, 2024	May 1, 2024	0	Firm change	RIA to RIA
F•••••••• A•••••••• I••••••••• M•••••••••	W••••• M••••••••• S••••••••• L••	Jul 15, 2021	May 20, 2021

Relationships

Registered with (5)

→ B••••• W••••• P•••••••• I•••Registered adviserregistration: current employment
May 1, 2024 to presentfactForm ADV
→ W••••• M••••••••• S••••••••• L••Registered adviserregistration: previous registration
May 20, 2021 to May 1, 2024factForm ADV
→ F•••••••• A•••••••• I••••••••• M•••••••••Registered adviserregistration: previous registration
Nov 14, 2017 to Jul 15, 2021factForm ADV
→ L•• F•••••••• L••

Dated events

Occurred
May 1, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6fea0f9d-f25f-7ade-9b2b-5202a22ad81c
First observed: May 15, 2001
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.