DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

B••••••• M••••• M••••••

Advisor at C•••••••• F••••••••• I•••

SAN DIEGO, CA | ANAHEIM, CA

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Search this name across graphsid dfx:ria:c924537c-b582-5497-12b1-7378ac1a0b60

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jan 3, 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: C•••••••• F••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 12, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••• F••••••••• I•••	Bd affiliated wealth	Nov 3, 2015	n/a	yes	ANAHEIM, CA\|SAN DIEGO, CA	Current employment
J• P• T••••• • C•••••• C•••••• M••••••••• L••	Former SEC adviser	Aug 10, 2009	Oct 30, 2015	no	SAN DIEGO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
J• P• T••••• • C•••••• C•••••• M••••••••• L••	C•••••••• F••••••••• I•••	Oct 30, 2015	Nov 3, 2015	4	Firm change	Other
W•• S••••••••• L••	J• P• T••••• • C•••••• C•••••• M••••••••• L••	Aug 10, 2009	Aug 10, 2009

Team moves

••• Locked

Team	Left	Joined	From	Kind
124446:30833:CA:2015-10-30	Oct 30, 2015	Nov 3, 2015	SAN DIEGO, CA	Firm change

Relationships

Registered with (3)

→ C•••••••• F••••••••• I•••Registered adviserregistration: current employment
Nov 3, 2015 to presentfactForm ADV
→ J• P• T••••• • C•••••• C•••••• M••••••••• L••Registered adviserregistration: previous registration
Aug 10, 2009 to Oct 30, 2015factForm ADV
→ W•• S••••••••• L••Registered adviserregistration: previous registration
Jan 3, 2006 to Aug 10, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c924537c-b582-5497-12b1-7378ac1a0b60
First observed: Jan 3, 2006
Last observed: Sep 14, 2026 8 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.