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D•••• G•••• C••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultant20 years in industry

D•••• G•••• C••••••

Advisor at S•••• I••••••••• M••••••••• L••

NEWPORT BEACH, CA

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Search this name across graphsid dfx:ria:90a7cd06-8dd7-f5f0-1a9e-7bdab0c36b7b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jun 26, 2006 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: S•••• I••••••••• M••••••••• L••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Jun 24, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••• I••••••••• M••••••••• L••	State registered	Jan 18, 2019	n/a	yes	NEWPORT BEACH, CA	Current employment
Q•••• C•••••• S••••••••• I•••	Former SEC adviser	Jun 26, 2006	Sep 22, 2006	no	LAGUNA HILLS, CA\|REDLANDS, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
Q•••• C•••••• S••••••••• I•••	S•••• I••••••••• M••••••••• L••	Sep 22, 2006	Jan 18, 2019	4,501	Firm change after gap	Other

Relationships

Registered with (2)

→ S•••• I••••••••• M••••••••• L••Registered adviserregistration: current employment
Jan 18, 2019 to presentfactForm ADV
→ Q•••• C•••••• S••••••••• I•••Registered adviserregistration: previous registration
Jun 26, 2006 to Sep 22, 2006factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:90a7cd06-8dd7-f5f0-1a9e-7bdab0c36b7b
First observed: Jun 26, 2006
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.