DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

C•••••••• M•••••• D•• G••••••

Advisor at O•••• I••••••••• I•••

Fountain Valley, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jun 23, 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: O•••• I••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Dec 22, 2003earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• I••••••••• I•••	Bd affiliated wealth	Feb 7, 2025	n/a	yes	Fountain Valley, CA	Current employment
L•• F•••••••• L••	Bd affiliated wealth	May 18, 2022	Dec 23, 2024	no	FOUNTAIN VALLEY, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	O•••• I••••••••• I•••	Dec 23, 2024	Feb 7, 2025	46	Firm change	Ibd to ibd
C••• B•••••••• S•••••••• I•••	L•• F•••••••• L••	May 18, 2022	May 18, 2022

Relationships

Registered with (5)

→ O•••• I••••••••• I•••Registered adviserregistration: current employment
Feb 7, 2025 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
May 18, 2022 to Dec 23, 2024factForm ADV
→ C••• B•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Apr 26, 2011 to May 18, 2022factForm ADV
→ Q•••• C•••••• S••••••••• I•••

Dated events

Order

Occurred
23 Dec 2024
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 23, 2006
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.