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

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RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

A•••• S•••••

Advisor at G•• S••••••••• I•••

GLENDALE, CA | PALM BEACH GARDENS, FL | PASADENA, CA

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Search this name across graphsid dfx:ria:9f1e14d5-9701-cef2-f256-4bbf8e51e724

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Nov 13, 2019 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: G•• S••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 1, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
G•• S••••••••• I•••	Bd affiliated wealth	Jun 18, 2021	n/a	yes	PALM BEACH GARDENS, FL\|PASADENA, CA\|GLENDALE, CA\|PALM BEACH GARDENS, FL	Current employment
E•••••••• A•••••••• L••	National bd RIA	Nov 13, 2019	Jun 23, 2021	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
E•••••••• A•••••••• L••	G•• S••••••••• I•••	Jun 23, 2021	Jun 18, 2021	-5	Firm change	Ibd to ibd

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
6627:128929:CA:2021-06-21	Jun 23, 2021	Jun 18, 2021	LOS ANGELES, CA	Firm change

Relationships

Registered with (2)

→ G•• S••••••••• I•••Registered adviserregistration: current employment
Jun 18, 2021 to presentfactForm ADV
→ E•••••••• A•••••••• L••Registered adviserregistration: previous registration
Nov 13, 2019 to Jun 23, 2021factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9f1e14d5-9701-cef2-f256-4bbf8e51e724
First observed: Nov 13, 2019
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.