DFX Intelligence

P••• R•••• G•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

P••• R•••• G•••••

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

CHULA VISTA, CA | SCOTTSDALE, AZ

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Search this name across graphsid dfx:ria:980d813e-f5ec-e9e7-c82d-c17eebeb78c6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jun 21, 2005 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: ••• Locked
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jul 10, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••	Independent wealth	Jan 20, 2026	n/a	yes	CHULA VISTA, CA\|SCOTTSDALE, AZ	Current employment
O•••• A••••••• S•••••••• L••	Bd affiliated wealth	Nov 8, 2024	Dec 23, 2025	no	ATLANTA, GA\|Chula Vista, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O•••• A••••••• S•••••••• L••	U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••	Dec 23, 2025	Jan 20, 2026	28	Firm change	Ibd to RIA
A•••• P•••• A•••••••	O•••• A••••••• S•••••••• L••	Nov 8, 2024	Nov 8, 2024

Relationships

Registered with (6)

→ U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••Registered adviserregistration: current employment
Jan 20, 2026 to presentfactForm ADV
→ O•••• A••••••• S•••••••• L••Registered adviserregistration: previous registration
Nov 8, 2024 to Dec 23, 2025factForm ADV
→ A•••• P•••• A•••••••Registered adviserregistration: previous registration
Mar 2, 2020 to Nov 8, 2024factForm ADV
→ M••••• S••••••

Dated events

Occurred
Dec 23, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:980d813e-f5ec-e9e7-c82d-c17eebeb78c6
First observed: Jun 21, 2005
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.