DFX Intelligence

O••••• G•••••••• S••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

O••••• G•••••••• S••••

Advisor at S•••• F••• I••••••••• M••••••••• C••••

San Diego, CA

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Search this name across graphsid dfx:ria:cca9c26b-6d6b-6dfc-2f37-25705b21d238

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Nov 29, 2016 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•••• F••• I••••••••• M••••••••• C••••
Current firm class: asset managerderived
Book size: not public••• Locked
Industry start: Oct 1, 2010earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••• F••• I••••••••• M••••••••• C••••	Asset manager	Feb 25, 2021	n/a	yes	San Diego, CA	Current employment
F•••• A••••• A••••••• S•••••••• I•••	Former SEC adviser	Nov 29, 2016	Mar 21, 2018	no	SAN DIEGO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••• A••••• A••••••• S•••••••• I•••	S•••• F••• I••••••••• M••••••••• C••••	Mar 21, 2018	Feb 25, 2021	1,072	Firm change after gap	Other
F•••• A••••• S••••••••• I•••	F•••• A••••• A••••••• S•••••••• I•••	Mar 29, 2017	Nov 29, 2016

Relationships

Registered with (3)

→ S•••• F••• I••••••••• M••••••••• C••••Registered adviserregistration: current employment
Feb 25, 2021 to presentfactForm ADV
→ F•••• A••••• A••••••• S•••••••• I•••Registered adviserregistration: previous registration
Nov 29, 2016 to Mar 21, 2018factForm ADV
→ F•••• A••••• S••••••••• I•••Registered adviserregistration: previous registration
Nov 29, 2016 to Mar 29, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cca9c26b-6d6b-6dfc-2f37-25705b21d238
First observed: Nov 29, 2016
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.