DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

R•••••• L••• M••••••••

Advisor at I••••••••• F•••••••• G••••• L••

Guaynabo, PR

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Search this name across graphsid dfx:ria:b40c1601-a626-9445-b9a4-432389d99dd6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Oct 29, 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: I••••••••• F•••••••• G••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Feb 1, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
I••••••••• F•••••••• G••••• L••	Bd affiliated wealth	Aug 20, 2017	n/a	yes	Guaynabo, PR	Current employment
A••••••• N••••••• A•••••••	Former SEC adviser	Oct 16, 2018	Feb 25, 2021	no	GUAYNABO, PR\|CLEVELAND, OH

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••••• N••••••• A•••••••	n/a	Feb 25, 2021	n/a	n/a	Departure no registered destination	Departure
S•••••••• S•••••••••	I••••••••• F•••••••• G••••• L••	Jul 26, 2017	Aug 20, 2017	25

Relationships

Registered with (3)

→ I••••••••• F•••••••• G••••• L••Registered adviserregistration: current employment
Aug 20, 2017 to presentfactForm ADV
→ A••••••• N••••••• A•••••••Registered adviserregistration: previous registration
Oct 16, 2018 to Feb 25, 2021factForm ADV
→ S•••••••• S•••••••••Registered adviserregistration: previous registration
Oct 29, 2009 to Jul 26, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b40c1601-a626-9445-b9a4-432389d99dd6
First observed: Oct 29, 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.