DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner28 years in industry

R••••• A•••••• D•••••

Advisor at S•••••• C•••••• G••••

••• Locked

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Search this name across graphsid dfx:ria:c850ed47-907a-3284-be1c-49440404b835

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Apr 11, 2001 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•••••• C•••••• G••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: May 18, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• C•••••• G••••	Independent wealth	Feb 12, 2026	n/a	yes	Riverside, CA\|HALFMOON, NY	Current employment
S•••••• A••••••• G••••• L••	Independent wealth	Feb 4, 2026	n/a	yes	Riverside, CA\|HALFMOON, NY	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••• S••••••••• I•••	G••••• I••••• W••••• M•••••••••	Aug 14, 2014	May 19, 2023	3,200	Firm change after gap	Other
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	S•••••• S••••••••• I•••	Feb 3, 2003	Feb 12, 2003

Relationships

Registered with (5)

→ S•••••• C•••••• G••••Registered adviserregistration: current employment
Feb 12, 2026 to presentfactForm ADV
→ S•••••• A••••••• G••••• L••Registered adviserregistration: current employment
Feb 4, 2026 to presentfactForm ADV
→ G••••• I••••• W••••• M•••••••••Registered adviserregistration: current employment
May 19, 2023 to presentfactForm ADV
→ S•••••• S••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c850ed47-907a-3284-be1c-49440404b835
First observed: Apr 11, 2001
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.