DFX Intelligence

R••••• S••••• M••••••: 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 / WealthAdvisor19 years in industry

R••••• S••••• M••••••

Advisor at G•••• W••••• M••••••••• L••

Newport Beach, CA | ALPHARETTA, GA

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:778b946f-b633-9d57-3562-2e12839c6d7a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Sep 3, 2007 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: G•••• W••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Aug 31, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
G•••• W••••• M••••••••• L••	Independent wealth	Dec 23, 2025	n/a	yes	ALPHARETTA, GA\|Newport Beach, CA	Current employment
F•••••••• R•••••••• G••••	n/a	Jan 23, 2018	Jul 20, 2023	no	NEWPORT BEACH, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••••••• R•••••••• G••••	G•••• W••••• M••••••••• L••	Jul 20, 2023	Dec 23, 2025	887	Firm change after gap	Other
S•• F••••••••• L••	F•••••••• R•••••••• G••••	Oct 10, 2014	Oct 10, 2014

Relationships

Registered with (5)

→ G•••• W••••• M••••••••• L••Registered adviserregistration: current employment
Dec 23, 2025 to presentfactForm ADV
→ F•••••••• R•••••••• G••••Registered adviserregistration: previous registration
Jan 23, 2018 to Jul 20, 2023factForm ADV
→ S•• F••••••••• L••Registered adviserregistration: previous registration
Jul 3, 2013 to Oct 10, 2014factForm ADV
→ F• A•••••• N••••••• L•••Registered adviser

Dated events

Occurred
Jul 20, 2023
A•••••• firm change
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:778b946f-b633-9d57-3562-2e12839c6d7a
First observed: Sep 3, 2007
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.