DFX Intelligence

D•••• L•••••• V•• O••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor27 years in industry

D•••• L•••••• V•• O••••••

Advisor at R•• C•••••• M••••••••• L••

TUSTIN, CA

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Search this name across graphsid dfx:ria:c9e7e2c0-af20-1f86-88d5-607ae41a5bf3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: May 21, 1999 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: R•• C•••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Feb 1, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•• C•••••• M••••••••• L••	Independent wealth	Oct 27, 2016	n/a	yes	TUSTIN, CA	Current employment
A••••••••• F•••••••• S•••••••• L••	National bd RIA	May 21, 1999	Oct 26, 2016	no	LONG BEACH, CA\|LONG BEACH, CA\|Tustin, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••••••• F•••••••• S•••••••• L••	R•• C•••••• M••••••••• L••	Oct 26, 2016	Oct 27, 2016	1	Firm change	Ibd to new firm

Relationships

Registered with (2)

→ R•• C•••••• M••••••••• L••Registered adviserregistration: current employment
Oct 27, 2016 to presentfactForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
May 21, 1999 to Oct 26, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c9e7e2c0-af20-1f86-88d5-607ae41a5bf3
First observed: May 21, 1999
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.