DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)18 years in industry

S••••• A••••• P••••••••

Advisor at F•••• T•••• S••••••••• I•••

••• Locked

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Search this name across graphsid dfx:ria:78de79d5-ef94-56b0-8636-a3788d3c127e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Apr 27, 2010 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: F•••• T•••• S••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Apr 29, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom 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
F•••• T•••• S••••••••• I•••	Bd affiliated wealth	Jul 9, 2026	n/a	yes	COSTA MESA, CA	Current employment
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Mar 29, 2024	n/a	yes	Costa Mesa, CA\|Irvine, CA	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U••• B•••••• I••••••••• I•••	A••••••••• F•••••••• S•••••••• L••	Apr 22, 2024	Mar 29, 2024	-24	Firm change	Ibd to ibd
I••••• F•••••••• C•••••••••	U••• B•••••• I••••••••• I•••	Jun 19, 2013	Jun 18, 2013

Relationships

Registered with (5)

→ F•••• T•••• S••••••••• I•••Registered adviserregistration: current employment
Jul 9, 2026 to presentfactForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Mar 29, 2024 to presentfactForm ADV
→ U••• B•••••• I••••••••• I•••Registered adviserregistration: previous registration
Jun 18, 2013 to Apr 22, 2024factForm ADV
→ I••••• F•••••••• C•••••••••

Dated events

Occurred
Apr 22, 2024
Advisor changed firm
S••••• A••••• P•••••••• left U••• B•••••• I••••••••• I••• for A••••••••• F•••••••• S•••••••• L•• (registered 2024-03-29)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:78de79d5-ef94-56b0-8636-a3788d3c127e
First observed: Apr 27, 2010
Last observed: Sep 14, 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.