DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)9 years in industry

C•••••••• S••••• S•••••

Advisor at N••••••••• S••••••••• L••

Corona, CA | COLUMBUS, OH

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Search this name across graphsid dfx:ria:99bbb61f-51cf-f7bd-c83f-55a507ea9b4f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Nov 17, 2021 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: N••••••••• S••••••••• L••
Current firm class: no raum reportedderived
Book size: not public••• Locked
Industry start: Oct 1, 2016earliest registration or exam on IAPD
Years in industry: 9derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N••••••••• S••••••••• L••	No RAUM reported	Jul 12, 2022	n/a	yes	Corona, CA\|COLUMBUS, OH	Current employment
W•••• F•••• A•••••••	Wirehouse	Nov 17, 2021	Jun 15, 2022	no	FULLERTON, CA\|IRVINE, CA\|YORBA LINDA, CA\|WALNUT CREEK, CA\|UNION CITY, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	N••••••••• S••••••••• L••	Jun 15, 2022	Jul 12, 2022	27	Firm change	Other

Relationships

Registered with (2)

→ N••••••••• S••••••••• L••Registered adviserregistration: current employment
Jul 12, 2022 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Nov 17, 2021 to Jun 15, 2022factForm ADV

Dated events

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

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:99bbb61f-51cf-f7bd-c83f-55a507ea9b4f
First observed: Nov 17, 2021
Last observed: Sep 14, 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.