DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner32 years in industry

P•••••• C••• O•••••

Advisor at E• W••••• A•••••••

San Luis Obispo, CA | TORRANCE, CA

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Search this name across graphsid dfx:ria:9a70893e-6f61-ec3c-18bc-2a21820be9b9

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:28 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jul 8, 1997 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: E• W••••• A•••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 31, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
E• W••••• A•••••••	Independent wealth	Jan 1, 2025	n/a	yes	TORRANCE, CA\|San Luis Obispo, CA	Current employment
W••••• W••••• P•••••••• L••	Former SEC adviser	Jan 24, 2008	Apr 30, 2024	no	SAN LUIS OBISPO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W••••• W••••• P•••••••• L••	E• W••••• A•••••••	Apr 30, 2024	Jan 1, 2025	246	Firm change	RIA to RIA
R•• I•••	W••••• W••••• P•••••••• L••	Feb 5, 2008	Jan 24, 2008

Team moves

••• Locked

Team	Left	Joined	From	Kind
145931:111147:CA:2024-04-30	Apr 30, 2024	Jan 1, 2025	SAN LUIS OBISPO, CA	Firm change

Relationships

Registered with (6)

→ E• W••••• A•••••••Registered adviserregistration: current employment
Jan 1, 2025 to presentfactForm ADV
→ W••••• W••••• P•••••••• L••Registered adviserregistration: previous registration
Jan 24, 2008 to Apr 30, 2024factForm ADV
→ R•• I•••Registered adviserregistration: previous registration
Nov 2, 2006 to Feb 5, 2008factForm ADV
→ U•••• F•••••••• S••••••• G••••• I•••Registered adviserregistration: previous registration

Dated events

Occurred
Apr 30, 2024
Advisor changed firm
P•••••• C••• O••••• left W••••• W••••• P•••••••• L•• for E• W••••• A••••••• (registered 2025-01-01)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9a70893e-6f61-ec3c-18bc-2a21820be9b9
First observed: Jul 8, 1997
Last observed: Sep 15, 2026 7 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.