DFX Intelligence

A••• R•• S••••••••: 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)34 years in industry

A••• R•• S••••••••

Advisor at T•••• S••••••••• L••

WOODLAND HILLS, CA

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:7191e441-c614-ba21-a7f4-77c3d51fd8e5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 8, 1997 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•••• S••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Aug 19, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
T•••• S••••••••• L••	Independent wealth	Jan 3, 2020	n/a	yes	WOODLAND HILLS, CA	Current employment
T•••• S••••••••• L••	Independent wealth	Jun 11, 2010	Dec 31, 2019	no	WOODLAND HILLS, CA\|WOODLAND HILLS, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O••••••••• • C•• I•••	T•••• S••••••••• L••	Jul 1, 2010	Jun 11, 2010	-20	Firm change	Other
C••• W•••• M•••••• C••••	O••••••••• • C•• I•••	Jan 3, 2003	Jan 3, 2003

Relationships

Registered with (3)

→ T•••• S••••••••• L••Registered adviserregistration: previous registration
Jun 11, 2010 to Dec 31, 2019factForm ADV
→ O••••••••• • C•• I•••Registered adviserregistration: previous registration
Jan 3, 2003 to Jul 1, 2010factForm ADV
→ C••• W•••• M•••••• C••••Registered adviserregistration: previous registration
Jul 8, 1997 to Jan 3, 2003factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7191e441-c614-ba21-a7f4-77c3d51fd8e5
First observed: Jul 8, 1997
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.