DFX Intelligence

T••••• H••• M••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

T••••• H••• M••••••

Advisor at M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

TUSTIN, CA

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Search this name across graphsid dfx:ria:79bcea83-599f-3541-2232-ef9a09a92b9c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Nov 30, 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: M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Nov 30, 2007earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	May 14, 2020	n/a	yes	TUSTIN, CA	Current employment
C••••••••• C••••••••• I•••••••••	Independent wealth	Jul 13, 2010	May 20, 2011	no	NEWPORT BEACH, CA\|NEWPORT BEACH, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••••• C••••••••• I•••••••••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	May 20, 2011	May 14, 2020	3,282	Firm change after gap	Other
U•• F•••••••• S••••••• I•••	C••••••••• C••••••••• I•••••••••	May 13, 2009	Jul 13, 2010

Relationships

Registered with (3)

→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: current employment
May 14, 2020 to presentfactForm ADV
→ C••••••••• C••••••••• I•••••••••Registered adviserregistration: previous registration
Jul 13, 2010 to May 20, 2011factForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Nov 30, 2007 to May 13, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:79bcea83-599f-3541-2232-ef9a09a92b9c
First observed: Nov 30, 2007
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.