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

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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

R••••• L•• M••••

Advisor at T••• I••••••••• A•••••••• L••

LAGUNA NIGUEL, CA | Canton, OH

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Search this name across graphsid dfx:ria:b6f7d2ce-6205-35ab-14f0-216479fc4639

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Aug 2, 2002 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: T••• I••••••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 2, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
T••• I••••••••• A•••••••• L••	Independent wealth	Dec 22, 2017	n/a	yes	Canton, OH\|LAGUNA NIGUEL, CA	Current employment
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••	Former SEC adviser	Oct 18, 2013	Nov 9, 2017	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••	T••• I••••••••• A•••••••• L••	Nov 9, 2017	Dec 22, 2017	43	Firm change	Other
A••••••••• F•••••••• S•••••••• L••	N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••	May 16, 2013

Relationships

Registered with (3)

→ T••• I••••••••• A•••••••• L••Registered adviserregistration: current employment
Dec 22, 2017 to presentfactForm ADV
→ N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Registered adviserregistration: previous registration
Oct 18, 2013 to Nov 9, 2017factForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Aug 2, 2002 to May 16, 2013factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b6f7d2ce-6205-35ab-14f0-216479fc4639
First observed: Aug 2, 2002
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.