DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)27 years in industry

M••• A••• L•••••••••

Advisor at U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••

SCOTTSDALE, AZ | TULARE, CA

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Search this name across graphsid dfx:ria:8efbe7f2-5a59-e3da-07d5-0ceb0f8632d0

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 24, 2005 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: ••• Locked
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Mar 1, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••	Independent wealth	Apr 15, 2020	n/a	yes	TULARE, CA\|SCOTTSDALE, AZ	Current employment
M••••••• P••••••• S••••••••• L••	State registered	Apr 23, 2019	Apr 16, 2020	no	Tulare, CA\|BREA, CA\|BREA, CA\|Tulare, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••••• P••••••• S••••••••• L••	U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••	Apr 16, 2020	Apr 15, 2020	-1	Firm change	Other
P••••••••• S••••••••• C•••••••••	M••••••• P••••••• S••••••••• L••	Apr 18, 2019

Team moves

••• Locked

Team	Left	Joined	From	Kind
154349:20804:CA:2020-04-16	Apr 16, 2020	Apr 15, 2020	TULARE, CA	Firm change
11869:154349:CA:2019-04-18	Apr 18, 2019	Apr 23, 2019	TULARE, CA	Firm change

Relationships

Registered with (4)

→ U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••Registered adviserregistration: current employment
Apr 15, 2020 to presentfactForm ADV
→ M••••••• P••••••• S••••••••• L••Registered adviserregistration: previous registration
Apr 23, 2019 to Apr 16, 2020factForm ADV
→ P••••••••• S••••••••• C•••••••••Registered adviserregistration: previous registration
Dec 4, 2007 to Apr 18, 2019factForm ADV
→ 1••• C•••••• M••••••••• C••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8efbe7f2-5a59-e3da-07d5-0ceb0f8632d0
First observed: Feb 24, 2005
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.