DFX Intelligence

P•••••• k•••• D•••••: 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)32 years in industry

P•••••• k•••• D•••••

Advisor at T••••••••• F•••••••• A•••••••• L••

RANCHO SANTA MARGARITA, 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:77afce61-9302-da12-1480-a13e37308329

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Jan 26, 2007 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••••••••• F•••••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 9, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
T••••••••• F•••••••• A•••••••• L••	Bd affiliated wealth	Sep 5, 2019	n/a	yes	RANCHO SANTA MARGARITA, CA	Current employment
C••••••• A••••••• N••••••• L••	Independent wealth	Oct 12, 2017	Jun 20, 2019	no	ALISO VIEJO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••• A••••••• N••••••• L••	T••••••••• F•••••••• A•••••••• L••	Jun 20, 2019	Sep 5, 2019	77	Firm change	RIA to ibd
A•••••	C••••••• A••••••• N••••••• L••	Jul 20, 2017	Oct 12, 2017

Relationships

Registered with (7)

→ T••••••••• F•••••••• A•••••••• L••Registered adviserregistration: current employment
Sep 5, 2019 to presentfactForm ADV
→ C••••••• A••••••• N••••••• L••Registered adviserregistration: previous registration
Oct 12, 2017 to Jun 20, 2019factForm ADV
→ A•••••Registered adviserregistration: previous registration
Mar 20, 2015 to Jul 20, 2017factForm ADV
→ N••••••••• M••••• I••••••••• S•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:77afce61-9302-da12-1480-a13e37308329
First observed: Jan 26, 2007
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.