DFX Intelligence

A••••••• S•••••••• C••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserState registeredState registeredRAUM none

A••••••• S•••••••• C••••••

A••••••• S•••••••• C••••••, INC., CRD 138144

SANTA ANA, CA

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Data as of Mar 28, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2026 to Mar 28, 2026
1 observations

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

Firm class: state registeredderivedon the IAPD state feed, not SEC-registered
Regulatory AUM: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Employees: 1
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 0

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
C•••••• N•••••• R•••••	Chartered Financial Analyst	Santa Ana, CA \| SANTA ANA, CA	19	43	1	no

Relationships

Registered with (2)

← C•••••• N•••••• R•••••Advisorregistration: current employment
Oct 6, 2006 to presentfactForm ADV
← J••• A••••• B•••••••••Advisorregistration: previous registration
Jun 15, 2007 to Sep 14, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 28, 2026
Last observed: Mar 28, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds 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.