DFX Intelligence

S•••••• M••••••• B•••••: advisor on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)17 years in industry

S•••••• M••••••• B•••••

Advisor at C••••• M••••••

IRVINE, CA | Westlake Village, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:965a2c4e-62e9-f7e9-f3df-9d652c154a83

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:36 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 25, 2009 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: C••••• M••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Mar 24, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• M••••••	Independent wealth	Feb 25, 2021	n/a	yes	Westlake Village, CA\|IRVINE, CA	Current employment
F••••••• P••••••• A•• W•••••••• A•••••••	Former SEC adviser	May 15, 2020	Feb 22, 2021	no	CAMPBELL, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F••••••• P••••••• A•• W•••••••• A•••••••	C••••• M••••••	Feb 22, 2021	Feb 25, 2021	3	Firm change	Ibd to RIA
L•••••••• T••••••• A•••• M••••••••• I••	F••••••• P••••••• A•• W•••••••• A•••••••	May 4, 2020	May 15, 2020

Relationships

Registered with (6)

→ C••••• M••••••Registered adviserregistration: current employment
Feb 25, 2021 to presentfactForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
May 15, 2020 to Feb 22, 2021factForm ADV
→ L•••••••• T••••••• A•••• M••••••••• I••Registered adviserregistration: previous registration
May 17, 2012 to May 4, 2020factForm ADV
→ B••••• • Y•••• A•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:965a2c4e-62e9-f7e9-f3df-9d652c154a83
First observed: Mar 25, 2009
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.