DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)23 years in industry

M•••• F•••••••••

Advisor at F••••••• F•••••••• M••••••••• L••

SEAL BEACH, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 6:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Mar 7, 2005 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: F••••••• F•••••••• M••••••••• L••
Current firm class: former SEC adviserderived
Book size: not public••• Locked
Industry start: Feb 12, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
F••••••• F•••••••• M••••••••• L••	Former SEC adviser	Sep 23, 2022	n/a	yes	SEAL BEACH, CA	Current employment
W•••• F•••• A•••••••	Wirehouse	Dec 19, 2011	Sep 27, 2022	no	LONG BEACH, CA\|SEAL BEACH, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	F••••••• F•••••••• M••••••••• L••	Sep 27, 2022	Sep 23, 2022	-4	Firm change	Wirehouse to new firm
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	W•••• F•••• A•••••••	Dec 20, 2011	Dec 19, 2011

Relationships

Registered with (4)

→ F••••••• F•••••••• M••••••••• L••Registered adviserregistration: current employment
Sep 23, 2022 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Dec 19, 2011 to Sep 27, 2022factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Oct 23, 2009 to Dec 20, 2011factForm ADV
→ B••• O• A•••••• I••••••••• S•••••••• I•••

Dated events

Order

Occurred
27 Sep 2022
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 7, 2005
Last observed: Sep 14, 2026 10 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.