DFX Intelligence

A•••••• C••••••••• R••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor16 years in industry

A•••••• C••••••••• R••••

Advisor at S•••••••• R•••••••• C•••••• M••••••••• L••

NEWPORT BEACH, 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:7fa99ace-3bf1-0318-3924-7de5fe25412a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jan 13, 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: S•••••••• R•••••••• C•••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Dec 21, 2009earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• R•••••••• C•••••• M••••••••• L••	Independent wealth	Dec 13, 2022	n/a	yes	NEWPORT BEACH, CA	Current employment
A• W••••• M••••••••• L••	Bd affiliated wealth	Apr 3, 2019	Aug 5, 2019	no	IRVINE, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A• W••••• M••••••••• L••	S•••••••• R•••••••• C•••••• M••••••••• L••	Aug 5, 2019	Dec 13, 2022	1,226	Firm change after gap	RIA to RIA
P••• A••••• S••••••••• L••	A• W••••• M••••••••• L••	Apr 22, 2019	Apr 3, 2019

Team moves

••• Locked

Team	Left	Joined	From	Kind
148733:46173:CA:2015-10-27	Nov 10, 2015	Dec 7, 2015	IRVINE, CA	Firm change

Relationships

Registered with (6)

→ S•••••••• R•••••••• C•••••• M••••••••• L••Registered adviserregistration: current employment
Dec 13, 2022 to presentfactForm ADV
→ A• W••••• M••••••••• L••Registered adviserregistration: previous registration
Apr 3, 2019 to Aug 5, 2019factForm ADV
→ P••• A••••• S••••••••• L••Registered adviserregistration: previous registration
Dec 7, 2015 to Apr 22, 2019factForm ADV
→ C•••••• S•••••• P•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7fa99ace-3bf1-0318-3924-7de5fe25412a
First observed: Jan 13, 2010
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.