DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultant|Chartered Financial Analyst24 years in industry

T•••• C•••••• T•••••

Advisor at I••••••••• I••••••••• S•••••••• I••

Stockton, CA | ALBERT LEA, MN

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Search this name across graphsid dfx:ria:80cc0091-8930-6f77-76cc-f6f9777075ce

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jun 4, 2003 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: I••••••••• I••••••••• S•••••••• I••
Current firm class: mixed wealth managerderived
Book size: not public••• Locked
Industry start: Sep 10, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
I••••••••• I••••••••• S•••••••• I••	Mixed wealth	Dec 4, 2024	n/a	yes	Stockton, CA\|ALBERT LEA, MN	Current employment
F••••• W••••• S•••••••• I•••	Other adviser	Jan 11, 2021	Dec 2, 2024	no	STOCKTON, CA\|STOCKTON, CA\|STOCKTON, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F••••• W••••• S•••••••• I•••	I••••••••• I••••••••• S•••••••• I••	Dec 2, 2024	Dec 4, 2024	2	Firm change	Other
F•••••••• D••••••••• I•••	F••••• W••••• S•••••••• I•••	Apr 23, 2021	Jan 11, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
118883:311949:CA:2021-04-23	Apr 23, 2021	Jan 11, 2021	STOCKTON, CA	Firm change after gap

Relationships

Registered with (6)

→ I••••••••• I••••••••• S•••••••• I••Registered adviserregistration: current employment
Dec 4, 2024 to presentfactForm ADV
→ F••••• W••••• S•••••••• I•••Registered adviserregistration: previous registration
Jan 11, 2021 to Dec 2, 2024factForm ADV
→ F•••••••• D••••••••• I•••Registered adviserregistration: previous registration
Jul 25, 2013 to Apr 23, 2021factForm ADV
→ F•••••••• T••••••• I•••

Dated events

Occurred
Dec 2, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:80cc0091-8930-6f77-76cc-f6f9777075ce
First observed: Jun 4, 2003
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.