DFX Intelligence

A••••••••• G•••••: advisor on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisor25 years in industry

A••••••••• G•••••

Advisor at S•••••••• R•••••••• C•••••• M••••••••• L••

NEWPORT BEACH, CA | Rocklin, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:b7d5e4b9-f7b9-1fe0-091f-8bb104ba123a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: May 4, 2006 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: S•••••••• R•••••••• C•••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Mar 31, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• R•••••••• C•••••• M••••••••• L••	Independent wealth	Apr 14, 2011	n/a	yes	NEWPORT BEACH, CA\|Rocklin, CA	Current employment
S••••••• I••••••••• I•••	Former SEC adviser	Mar 11, 2009	Mar 16, 2011	no	IRVINE, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••• I••••••••• I•••	S•••••••• R•••••••• C•••••• M••••••••• L••	Mar 16, 2011	Apr 14, 2011	29	Firm change	Other
M•• I•••••••• S•••••••• L••	S••••••• I••••••••• I•••	Mar 9, 2009	Mar 11, 2009

Relationships

Registered with (3)

→ S•••••••• R•••••••• C•••••• M••••••••• L••Registered adviserregistration: current employment
Apr 14, 2011 to presentfactForm ADV
→ S••••••• I••••••••• I•••Registered adviserregistration: previous registration
Mar 11, 2009 to Mar 16, 2011factForm ADV
→ M•• I•••••••• S•••••••• L••Registered adviserregistration: previous registration
May 4, 2006 to Mar 9, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b7d5e4b9-f7b9-1fe0-091f-8bb104ba123a
First observed: May 4, 2006
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.