DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Analyst23 years in industry

R••• A•••••• L•••

Advisor at 1• E•••••

Santa Barbara, CA

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Search this name across graphsid dfx:ria:82c981a6-8a51-23eb-3b71-f9fd8ead0967

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 1
Observed: Feb 14, 2005 to Sep 14, 2026

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

R••• A•••••• L•••

same person, same CRD on Schedule A · confidence 95% · family precision 100%

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: 1• E•••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Apr 18, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
1• E•••••	Independent wealth	Dec 23, 2020	n/a	yes	Santa Barbara, CA	Current employment
P•••••• C••••••• L••	Former SEC adviser	Nov 3, 2014	Sep 29, 2017	no	MONTECITO, CA\|SAN DIEGO, CA\|Summerland, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•••• C•••••• G••••	P•••••• C••••••• L••	Dec 31, 2020	Nov 3, 2014	-2,250	Firm change after gap	Other
P•••••• C••••••• L••	1• E•••••	Sep 29, 2017	Dec 23, 2020

Relationships

Registered with (4)

→ 1• E•••••Registered adviserregistration: current employment
Dec 23, 2020 to presentfactForm ADV
→ L•••• C•••••• G••••Registered adviserregistration: previous registration
Oct 24, 2014 to Dec 31, 2020factForm ADV
→ P•••••• C••••••• L••Registered adviserregistration: previous registration
Nov 3, 2014 to Sep 29, 2017factForm ADV
→ W••• C•••• A•••• M•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:82c981a6-8a51-23eb-3b71-f9fd8ead0967
First observed: Feb 14, 2005
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.