DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner10 years in industry

C••• E••••• V••••••

Advisor at R••••• W••••• A•••••••

••• Locked

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Search this name across graphsid dfx:ria:b2aca476-9273-0ed2-aa8c-908208ed77d8

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Nov 11, 2019 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••••• W••••• A•••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: May 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R••••• W••••• A•••••••	Independent wealth	Sep 8, 2026	n/a	yes	Santa Barbara , CA\|Santa Barbara , CA\|SAN LUIS OBISPO, CA	Current employment
S•••••••• A••••••• L••	National bd RIA	Mar 31, 2025	Jun 25, 2026	no	SANTA BARBARA, CA\|SANTA BARBARA, CA\|BOSTON, MA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••••• A••••••• L••	R••••• W••••• A•••••••	Jun 25, 2026	Sep 8, 2026	75	Firm change	Ibd to new firm
F••••••• P••••••• A•• W•••••••• A•••••••	S•••••••• A••••••• L••	Mar 31, 2025	Mar 31, 2025

Relationships

Registered with (4)

→ R••••• W••••• A•••••••Registered adviserregistration: current employment
Sep 8, 2026 to presentfactForm ADV
→ S•••••••• A••••••• L••Registered adviserregistration: previous registration
Mar 31, 2025 to Jun 25, 2026factForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
May 17, 2024 to Mar 31, 2025factForm ADV
→ E••••• J••••

Dated events

Occurred
Jun 25, 2026
Advisor changed firm
C••• E••••• V•••••• left S•••••••• A••••••• L•• for R••••• W••••• A••••••• (registered 2026-09-08)
Form ADVobserved 7 days ago
Occurred
Apr 11, 2024
Advisor changed firm
C••• E••••• V•••••• left E••••• J•••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2024-05-17)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b2aca476-9273-0ed2-aa8c-908208ed77d8
First observed: Nov 11, 2019
Last observed: Sep 15, 2026 7 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.