DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

S••••• M••••• S••••••

Advisor at T•• A•••••••• G••••

••• Locked

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Search this name across graphsid dfx:ria:afa4d309-8003-35b9-f2ab-2d1a81baca8b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Nov 6, 2013 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•• A•••••••• G••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Nov 5, 2013earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
T•• A•••••••• G••••	Bd affiliated wealth	Apr 22, 2020	n/a	yes	St. George, UT\|LAS VEGAS, NV\|Westlake Village, CA	Current employment
S•••••••• F••••••••• I•••	Former SEC adviser	Jun 4, 2019	Sep 9, 2020	no	CALABASAS, CA\|WESTLAKE VILLAGE, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••••• F••••••••• I•••	T•• A•••••••• G••••	Sep 9, 2020	Apr 22, 2020	-140	Firm change after gap	Ibd to RIA
C••••• M••••••	S•••••••• F••••••••• I•••	Jun 3, 2019	Jun 4, 2019

Team moves

••• Locked

Team	Left	Joined	From	Kind
133763:305585:CA:2020-09-09	Sep 9, 2020	Apr 22, 2020	WESTLAKE VILLAGE, CA	Firm change after gap

Relationships

Registered with (4)

→ T•• A•••••••• G••••Registered adviserregistration: current employment
Apr 22, 2020 to presentfactForm ADV
→ S•••••••• F••••••••• I•••Registered adviserregistration: previous registration
Jun 4, 2019 to Sep 9, 2020factForm ADV
→ C••••• M••••••Registered adviserregistration: previous registration
Dec 14, 2015 to Jun 3, 2019factForm ADV
→ M••••• S••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:afa4d309-8003-35b9-f2ab-2d1a81baca8b
First observed: Nov 6, 2013
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.