DFX Intelligence

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

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

S••••• E••• J•••••

Advisor at T••• I••••••••• A•••••••• L••

LAGUNA NIGUEL, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 1:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jun 19, 2002 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: T••• I••••••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jul 30, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
T••• I••••••••• A•••••••• L••	Independent wealth	Dec 3, 2020	n/a	yes	LAGUNA NIGUEL, CA	Current employment
C••••••••• W•••••• L••	Independent wealth	Aug 13, 2019	Oct 13, 2020	no	LOS ANGELES, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••••• W•••••• L••	T••• I••••••••• A•••••••• L••	Oct 13, 2020	Dec 3, 2020	51	Firm change	RIA to RIA
C•••••• S••••• • C••• I•••	C••••••••• W•••••• L••	Aug 14, 2019	Aug 13, 2019

Relationships

Registered with (3)

→ T••• I••••••••• A•••••••• L••Registered adviserregistration: current employment
Dec 3, 2020 to presentfactForm ADV
→ C••••••••• W•••••• L••Registered adviserregistration: previous registration
Aug 13, 2019 to Oct 13, 2020factForm ADV
→ C•••••• S••••• • C••• I•••Registered adviserregistration: previous registration
Jun 19, 2002 to Aug 14, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 19, 2002
Last observed: Sep 14, 2026 10 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.