DFX Intelligence

S•••• C••••••••• O••••: 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)21 years in industry

S•••• C••••••••• O••••

Advisor at D•• S•••••• F•••••••• • I•••••••• S•••••••

Greenwich, CT | CARLSBAD, 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 graphs

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jun 5, 2008 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: D•• S•••••• F•••••••• • I•••••••• S•••••••
Current firm class: former SEC adviserderived
Book size: not public••• Locked
Industry start: Sep 23, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
D•• S•••••• F•••••••• • I•••••••• S•••••••	Former SEC adviser	Jan 3, 2018	n/a	yes	Greenwich, CT\|CARLSBAD, CA	Current employment
S•••••• F•••••••• • I•••••••• S•••••••	n/a	Jan 20, 2010	May 23, 2018	no	CARLSBAD, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••• F•••••••• • I•••••••• S•••••••	D•• S•••••• F•••••••• • I•••••••• S•••••••	May 23, 2018	Jan 3, 2018	-140	Firm change after gap	Other
N••••••••• M••••• I••••••••• S•••••••••	S•••••• F•••••••• • I•••••••• S•••••••	Apr 1, 2009

Team moves

••• Locked

Team	Left	Joined	From	Kind
132929:289985:CA:2018-05-23	May 23, 2018	Jan 3, 2018	CARLSBAD, CA	Firm change after gap

Relationships

Registered with (3)

→ D•• S•••••• F•••••••• • I•••••••• S•••••••Registered adviserregistration: current employment
Jan 3, 2018 to presentfactForm ADV
→ S•••••• F•••••••• • I•••••••• S•••••••Registered adviserregistration: previous registration
Jan 20, 2010 to May 23, 2018factForm ADV
→ N••••••••• M••••• I••••••••• S•••••••••Registered adviserregistration: previous registration
Jun 5, 2008 to Apr 1, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 5, 2008
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.