DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

S•••••• L•••••••

Advisor at I••••••••• F•••••••• G••••• L••

Pasadena, CA | SAN DIEGO, CA

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Search this name across graphsid dfx:ria:74819d89-33c6-b9c3-809e-351c46711265

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Dec 31, 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: I••••••••• F•••••••• G••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 13, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
I••••••••• F•••••••• G••••• L••	Bd affiliated wealth	Mar 18, 2024	n/a	yes	Pasadena, CA\|SAN DIEGO, CA	Current employment
D••• D••••••• • C••	I•••••••••_WEALTH	Nov 25, 2013	Mar 8, 2024	no	GREAT FALLS, MT\|LOS ANGELES, CA\|LOS ANGELES, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
D••• D••••••• • C••	I••••••••• F•••••••• G••••• L••	Mar 8, 2024	Mar 18, 2024	10	Firm change	RIA to ibd
C•••••• W••••• • C••	D••• D••••••• • C••	Nov 25, 2013	Nov 25, 2013

Relationships

Registered with (4)

→ I••••••••• F•••••••• G••••• L••Registered adviserregistration: current employment
Mar 18, 2024 to presentfactForm ADV
→ D••• D••••••• • C••Registered adviserregistration: previous registration
Nov 25, 2013 to Mar 8, 2024factForm ADV
→ C•••••• W••••• • C••Registered adviserregistration: previous registration
Nov 4, 2013 to Nov 25, 2013factForm ADV
→ C••••••• W••••• • C••

Dated events

Occurred
Mar 8, 2024
Advisor changed firm
S•••••• L••••••• left D••• D••••••• • C•• for I••••••••• F•••••••• G••••• L•• (registered 2024-03-18)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:74819d89-33c6-b9c3-809e-351c46711265
First observed: Dec 31, 1997
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.