DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisor19 years in industry

C•••• E••••••• M••••

Advisor at F•••••• F••••••••

SANTA BARBARA, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphs

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jun 16, 2009 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: F•••••• F••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Mar 22, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
F•••••• F••••••••	Independent wealth	Feb 6, 2025	n/a	yes	SANTA BARBARA, CA	Current employment
M•••••• A•••••• N••••••	Bd affiliated wealth	May 18, 2018	Oct 7, 2024	no	Santa Barbara, CA\|Santa Barbara, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• A•••••• N••••••	F•••••• F••••••••	Oct 7, 2024	Feb 6, 2025	122	Firm change	Ibd to RIA
S•••••••• A••••••• L••	M•••••• A•••••• N••••••	Jun 18, 2018	May 18, 2018

Relationships

Registered with (3)

→ F•••••• F••••••••Registered adviserregistration: current employment
Feb 6, 2025 to presentfactForm ADV
→ M•••••• A•••••• N••••••Registered adviserregistration: previous registration
May 18, 2018 to Oct 7, 2024factForm ADV
→ S•••••••• A••••••• L••Registered adviserregistration: previous registration
Jun 16, 2009 to Jun 18, 2018factForm ADV

Dated events

Order

Occurred
7 Oct 2024
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 16, 2009
Last observed: Sep 14, 2026 9 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.