DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)19 years in industry

B••••• B••••• B••••

Advisor at T••• I••••••••• A•••••••• L••

LAGUNA NIGUEL, CA | San Clemente, CA

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Search this name across graphsid dfx:ria:d739b3cb-7b19-80f3-8178-ffd8d5e611fc

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Nov 29, 2006 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: T••• I••••••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Nov 22, 2006earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
T••• I••••••••• A•••••••• L••	Independent wealth	Jan 3, 2025	n/a	yes	LAGUNA NIGUEL, CA\|San Clemente, CA	Current employment
C••••••• P•••••••• I•••	Independent wealth	Jan 18, 2022	Jan 8, 2025	no	NEW YORK, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••• P•••••••• I•••	T••• I••••••••• A•••••••• L••	Jan 8, 2025	Jan 3, 2025	-5	Firm change	RIA to RIA
C••••••••• W••••• M•••••••••	C••••••• P•••••••• I•••	Dec 31, 2014	Nov 18, 2014

Relationships

Registered with (5)

→ T••• I••••••••• A•••••••• L••Registered adviserregistration: current employment
Jan 3, 2025 to presentfactForm ADV
→ C••••••• P•••••••• I•••Registered adviserregistration: previous registration
Jan 18, 2022 to Jan 8, 2025factForm ADV
→ C••••••••• W••••• M•••••••••Registered adviserregistration: previous registration
Mar 27, 2014 to Dec 31, 2014factForm ADV
→ L•• F•••••••• L••Registered adviser

Dated events

Occurred
Jan 8, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d739b3cb-7b19-80f3-8178-ffd8d5e611fc
First observed: Nov 29, 2006
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.