DFX Intelligence

F•••••••• S••••••••• F•• T•••• A•• T••••••••• M••• G••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserstate registeredstate registeredRAUM none

F•••••••• S••••••••• F•• T•••• A•• T••••••••• M••• G••••

CRD 145117

SANTA ANA, CA

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Search this name across graphsid dfx:ria:9586e70b-44cd-df46-dbae-28dbf8b31e8c

Data as of Aug 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Aug 18, 2026 to Aug 18, 2026
1 observations

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

Firm class: state registeredderivedon the IAPD state feed, not SEC-registered
Private client RAUM: $0derived••• Locked
Employees: 2
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
CRD: 145117
Filings on the tape: 1
First filed: Aug 18, 2026

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R••••• B••••• L•••••••	n/a	SANTA ANA, CA	18	32	n/a	no

Relationships

Registered with (2)

← R••••• B••••• L•••••••Advisorregistration: current employment
Apr 25, 2008 to presentfactForm ADV
← CLIFFORD TUNGEN KWANAdvisorregistration: previous registration
Apr 25, 2008 to Sep 16, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9586e70b-44cd-df46-dbae-28dbf8b31e8c
First observed: Aug 18, 2026
Last observed: Aug 18, 2026 35 days ago
Source families: Federal regulator filings
3 registered feeds 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.