A•••••• L••••

Advisor at R•• S••••••••• I•••

LOS ANGELES, CA | Los Angeles, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:d33c7e87-6196-1e2c-fb62-24c3180775b0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Oct 15, 2013 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•• S••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 1, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•• S••••••••• I•••	Bd affiliated wealth	Sep 18, 2024	n/a	yes	Los Angeles, CA\|LOS ANGELES, CA	Current employment
C••• F•••••••• S•••••••• L•••	Former SEC adviser	May 10, 2022	Aug 23, 2024	no	SAN DIEGO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••• F•••••••• S•••••••• L•••	R•• S••••••••• I•••	Aug 23, 2024	Sep 18, 2024	26	Firm change	Ibd to RIA
R•• S••••••••• I•••	C••• F•••••••• S•••••••• L•••	May 9, 2022	May 10, 2022

Relationships

Registered with (4)

→ R•• S••••••••• I•••Registered adviserregistration: previous registration
Apr 16, 2021 to May 9, 2022factForm ADV
→ C••• F•••••••• S•••••••• L•••Registered adviserregistration: previous registration
May 10, 2022 to Aug 23, 2024factForm ADV
→ W•••••• S••••••••• I•••Registered adviserregistration: previous registration
Jun 20, 2019 to Mar 30, 2021factForm ADV
→ N••••••••• M••••• I••••••••• S•••••••••

Dated events

Occurred
Aug 23, 2024
Advisor changed firm
A•••••• L•••• left C••• F•••••••• S•••••••• L••• for R•• S••••••••• I••• (registered 2024-09-18)
Form ADVobserved 7 days ago
Occurred
May 9, 2022
Advisor changed firm
A•••••• L•••• left R•• S••••••••• I••• for C••• F•••••••• S•••••••• L••• (registered 2022-05-10)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d33c7e87-6196-1e2c-fb62-24c3180775b0
First observed: Oct 15, 2013
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.