DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

L•••••• D••• C•••

Advisor at R•• R•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:a7bc21af-0883-f9d5-e417-af1183a089f4

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Nov 24, 2006 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: R•• R•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Nov 22, 2006earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•• R•••••••• L••	Bd affiliated wealth	Nov 4, 2010	n/a	yes	NEW YORK, NY\|Beverly Hills, CA\|Los Angeles, CA	Current employment
E•••••••• A•••••••• L••	National bd RIA	Jan 3, 2007	Feb 1, 2010	no	LOS ANGELES, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E•••••••• A•••••••• L••	R•• R•••••••• L••	Feb 1, 2010	Nov 4, 2010	276	Firm change	Other
B••• O• A•••••• I••••••••• S•••••••• I•••	E•••••••• A•••••••• L••	Dec 18, 2006	Jan 3, 2007

Relationships

Registered with (3)

→ R•• R•••••••• L••Registered adviserregistration: current employment
Nov 4, 2010 to presentfactForm ADV
→ E•••••••• A•••••••• L••Registered adviserregistration: previous registration
Jan 3, 2007 to Feb 1, 2010factForm ADV
→ B••• O• A•••••• I••••••••• S•••••••• I•••Registered adviserregistration: previous registration
Nov 24, 2006 to Dec 18, 2006factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a7bc21af-0883-f9d5-e417-af1183a089f4
First observed: Nov 24, 2006
Last observed: Sep 15, 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.