DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)38 years in industry

F•••• L••••••• S•••••••

Advisor at R•••••• J•••• F•••••••• S••••••• A•••••••• I••

Newport Beach, CA

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Search this name across graphsid dfx:ria:aebe1e61-fce3-0674-5e46-c222055885f8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Mar 29, 1999 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: R•••••• J•••• F•••••••• S••••••• A•••••••• I••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 9, 1987earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Bd affiliated wealth	Apr 4, 2022	n/a	yes	Newport Beach, CA	Current employment
W•••• F•••• A•••••••	Wirehouse	Nov 7, 2013	May 9, 2022	no	NEWPORT BEACH, CA\|IRVINE, CA\|NEWPORT BEACH, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	R•••••• J•••• F•••••••• S••••••• A•••••••• I••	May 9, 2022	Apr 4, 2022	-35	Firm change after gap	Wirehouse to ibd
T•• F•••••••• S•••••••• I•••	W•••• F•••• A•••••••	Jan 8, 2014	Nov 7, 2013

Relationships

Registered with (4)

→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserregistration: previous registration
Jan 2, 2009 to Nov 8, 2013factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Nov 7, 2013 to May 9, 2022factForm ADV
→ T•• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Feb 1, 2011 to Jan 8, 2014factForm ADV
→ R•••••• J•••• F•••••••• S•••••••• I•••Registered adviser

Dated events

Occurred
May 9, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:aebe1e61-fce3-0674-5e46-c222055885f8
First observed: Mar 29, 1999
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.