DFX Intelligence

S••• E••••• F••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

S••• E••••• F••••

Advisor at C••••• F••••••••

Lenexa, KS | Los Angeles, CA

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Search this name across graphsid dfx:ria:b97bb019-3b15-9fb7-552a-6fee5b1b2d77

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Jul 29, 2004 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: C••••• F••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 23, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• F••••••••	I•••••••••_WEALTH	Aug 7, 2026	n/a	yes	Lenexa, KS\|Los Angeles, CA	Current employment
I••••••••• F•••••••• P•••••••	Bd affiliated wealth	Jun 8, 2023	Aug 7, 2026	no	Los Angeles, CA\|Torrance, CA\|TAMPA, FL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I••••••••• F•••••••• P•••••••	C••••• F••••••••	Aug 7, 2026	Aug 7, 2026	0	Firm change	Ibd to RIA
L•• F•••••••• L••	I••••••••• F•••••••• P•••••••	Jun 14, 2023	Jun 8, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
6413:125112:CA:2023-06-13	Jun 14, 2023	Jun 8, 2023	HAWTHORNE, CA	Firm change

Relationships

Registered with (5)

→ C••••• F••••••••Registered adviserregistration: current employment
Aug 7, 2026 to presentfactForm ADV
→ I••••••••• F•••••••• P•••••••Registered adviserregistration: previous registration
Jun 8, 2023 to Aug 7, 2026factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Sep 25, 2007 to Jun 14, 2023factForm ADV
→ S••• B•••••••• S•••••••Registered adviser

Dated events

Occurred
Aug 7, 2026
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Jun 14, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b97bb019-3b15-9fb7-552a-6fee5b1b2d77
First observed: Jul 29, 2004
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.