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

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)46 years in industry

R•••••• E••• C••••••••

Advisor at M••••••

VENTURA, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Nov 18, 1997 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••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 28, 1980earliest registration or exam on IAPD
Years in industry: 46derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M••••••	Bd affiliated wealth	Sep 1, 2021	n/a	yes	VENTURA, CA	Current employment
C•••••• I•••••• G••••	Former SEC adviser	Feb 28, 2014	Sep 13, 2021	no	TUSTIN, CA\|Ventura, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• I•••••• G••••	M••••••	Sep 13, 2021	Sep 1, 2021	-12	Firm change	RIA to ibd
Q•••• C•••••• S••••••••• I•••	C•••••• I•••••• G••••	Jan 15, 2014	Feb 28, 2014

Team moves

••• Locked

Team	Left	Joined	From	Kind
168868:140195:CA:2021-09-13	Sep 13, 2021	Sep 1, 2021	VENTURA, CA	Firm change

Relationships

Registered with (5)

→ M••••••Registered adviserregistration: current employment
Sep 1, 2021 to presentfactForm ADV
→ C•••••• I•••••• G••••Registered adviserregistration: previous registration
Feb 28, 2014 to Sep 13, 2021factForm ADV
→ Q•••• C•••••• S••••••••• I•••Registered adviserregistration: previous registration
Oct 16, 2013 to Jan 15, 2014factForm ADV
→ T•• R••••••••• G••••• L••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 18, 1997
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.