DFX Intelligence

W•••••• G••••• R•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)45 years in industry

W•••••• G••••• R•••

Advisor at C•••••• S•••••• P•••••••

MISSION VIEJO, CA | IRVINE, CA

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Search this name across graphsid dfx:ria:89e92625-6463-1ede-6ab9-d9edd7ab4142

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Feb 16, 2000 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: C•••••• S•••••• P•••••••
Current firm class: former SEC adviserderived
Book size: not public••• Locked
Industry start: Aug 18, 1981earliest registration or exam on IAPD
Years in industry: 45derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• S•••••• P•••••••	Former SEC adviser	Jan 1, 2025	n/a	yes	IRVINE, CA\|MISSION VIEJO, CA	Current employment
R••• F•••••••• S•••••••	n/a	Feb 12, 2025	Mar 30, 2026	no	MISSION VIEJO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R••• F•••••••• S•••••••	n/a	Mar 30, 2026	n/a	n/a	Departure no registered destination	Departure
F•••••••• W••• G••••	C•••••• S•••••• P•••••••	Nov 7, 2011	Jan 1, 2025	4,804

Relationships

Registered with (3)

→ C•••••• S•••••• P•••••••Registered adviserregistration: current employment
Jan 1, 2025 to presentfactForm ADV
→ R••• F•••••••• S•••••••Registered adviserregistration: previous registration
Feb 12, 2025 to Mar 30, 2026factForm ADV
→ F•••••••• W••• G••••Registered adviserregistration: previous registration
Feb 16, 2000 to Nov 7, 2011factForm ADV

Dated events

Occurred
Mar 30, 2026
Advisor departed, no destination yet
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:89e92625-6463-1ede-6ab9-d9edd7ab4142
First observed: Feb 16, 2000
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.