DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

G•••••• L••• K•••••••••

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

NEWPORT BEACH, CA

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Data as of Sep 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Aug 6, 1999 to Sep 23, 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: Oct 31, 1995earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• R•••••••• C•••••• M••••••••• L••	Independent wealth	Sep 22, 2026	n/a	yes	NEWPORT BEACH, CA	Current employment
M•• I•••••••• S•••••••• L••	Bd affiliated wealth	Jan 12, 2016	Nov 3, 2025	no	IRVINE, CA\|LA JOLLA, CA\|IRVINE, CA\|LA JOLLA, CA\|Costa Mesa, CA\|Coto De Caza, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•• I•••••••• S•••••••• L••	S•••••••• R•••••••• C•••••• M••••••••• L••	Nov 3, 2025	Sep 22, 2026	323	Firm change	Ibd to RIA
S•••••••• R•••••••• C•••••• M••••••••• L••	M•• I•••••••• S•••••••• L••	Aug 24, 2015	Jan 12, 2016

Relationships

Registered with (3)

→ S•••••••• R•••••••• C•••••• M••••••••• L••Registered adviserregistration: previous registration
Jun 8, 2007 to Aug 24, 2015factForm ADV
→ M•• I•••••••• S•••••••• L••Registered adviserregistration: previous registration
Jan 12, 2016 to Nov 3, 2025factForm ADV
→ S••••••• I••••••••• I•••Registered adviserregistration: previous registration
Aug 6, 1999 to Oct 13, 2014factForm ADV

Dated events

1 bookkeeping event (roster, classification and holdings changes) folded below

Show 1 bookkeeping event

Occurred
Sep 22, 2026
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Aug 6, 1999
Last observed: Sep 23, 2026 16 h 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.