DFX Intelligence

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

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RIA / WealthAdvisor29 years in industry

D•••••• E••• R•••

Advisor at A••••••••• I••••••••• R•••••••• L••

Moca, PR

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Search this name across graphsid dfx:ria:940989e3-4f5c-4b3c-16fd-d16dc43403db

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Mar 22, 2002 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: A••••••••• I••••••••• R•••••••• L••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: May 28, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• I••••••••• R•••••••• L••	State registered	Feb 19, 2020	n/a	yes	Moca, PR	Current employment
A•••••••••	Former SEC adviser	Oct 18, 2016	Jul 6, 2018	no	OVERLAND PARK, KS	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R••• F•••••••• G••••• I•••	A•••••••••	Sep 15, 2022	Oct 18, 2016	-2,158	Firm change after gap	Other
A•••••••••	A••••••••• I••••••••• R•••••••• L••	Jul 6, 2018	Feb 19, 2020

Relationships

Registered with (6)

→ A••••••••• I••••••••• R•••••••• L••Registered adviserregistration: current employment
Feb 19, 2020 to presentfactForm ADV
→ R••• F•••••••• G••••• I•••Registered adviserregistration: previous registration
Jan 1, 2015 to Sep 15, 2022factForm ADV
→ A•••••••••Registered adviserregistration: previous registration
Oct 18, 2016 to Jul 6, 2018factForm ADV
→ C••••• A••••••• L••Registered adviser

Dated events

Occurred
Sep 15, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:940989e3-4f5c-4b3c-16fd-d16dc43403db
First observed: Mar 22, 2002
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.