DFX Intelligence

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

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RIA / WealthAdvisor29 years in industry

P•••••• L•••• I••••

Advisor at L••••••• F••••••••• I•••

NEWPORT BEACH, CA | Aliso Viejo, CA

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Search this name across graphsid dfx:ria:d56c9de8-12ae-724f-2b01-d9484d3f4670

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 24, 2010 to Sep 15, 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: L••••••• F••••••••• I•••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Aug 29, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L••••••• F••••••••• I•••	State registered	Jun 17, 2026	n/a	yes	Aliso Viejo, CA\|NEWPORT BEACH, CA	Current employment
H••••• I••••••••• M••••••••• L••	Independent wealth	Jan 6, 2016	Sep 21, 2018	no	Viejo, CA\|CINCINNATI, OH

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H••••• I••••••••• M••••••••• L••	L••••••• F••••••••• I•••	Sep 21, 2018	Jun 17, 2026	2,826	Firm change after gap	RIA to state RIA
G••••• F•••••••• P•••••• C••••••• I•••	H••••• I••••••••• M••••••••• L••	Dec 21, 2015	Jan 6, 2016

Relationships

Registered with (3)

→ L••••••• F••••••••• I•••Registered adviserregistration: current employment
Jun 17, 2026 to presentfactForm ADV
→ H••••• I••••••••• M••••••••• L••Registered adviserregistration: previous registration
Jan 6, 2016 to Sep 21, 2018factForm ADV
→ G••••• F•••••••• P•••••• C••••••• I•••Registered adviserregistration: previous registration
Mar 24, 2010 to Dec 21, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d56c9de8-12ae-724f-2b01-d9484d3f4670
First observed: Mar 24, 2010
Last observed: Sep 15, 2026 7 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.