DFX Intelligence

P••• W•••••••• P••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

P••• W•••••••• P••••••

Advisor at I••••••••• F•••••••• G••••• L••

LAGUNA NIGUEL, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Apr 11, 2007 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: I••••••••• F•••••••• G••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Nov 1, 1994earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
I••••••••• F•••••••• G••••• L••	Bd affiliated wealth	Jun 3, 2015	n/a	yes	LAGUNA NIGUEL, CA	Current employment
B•••• J••••• I••••••••• A•••••••• L••	Former SEC adviser	Sep 13, 2007	Oct 15, 2007	no	SAN CLEMENTE, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••• S••••• A•••••••• L••	B•••• J••••• I••••••••• A•••••••• L••	Oct 16, 2023	Sep 13, 2007	-5,877	Firm change after gap	Other
B•••• J••••• I••••••••• A•••••••• L••	I••••••••• F•••••••• G••••• L••	Oct 15, 2007	Jun 3, 2015

Relationships

Registered with (3)

→ I••••••••• F•••••••• G••••• L••Registered adviserregistration: current employment
Jun 3, 2015 to presentfactForm ADV
→ M••• S••••• A•••••••• L••Registered adviserregistration: previous registration
Apr 11, 2007 to Oct 16, 2023factForm ADV
→ B•••• J••••• I••••••••• A•••••••• L••Registered adviserregistration: previous registration
Sep 13, 2007 to Oct 15, 2007factForm ADV

Dated events

Occurred
Oct 16, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Apr 11, 2007
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.