DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

M•••••• P••••••• T•••••

Advisor at I• F•••••••• A••••••• S••••••• L••

Mission Viejo, CA | CHARLOTTE, NC

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Search this name across graphsid dfx:ria:db93f4d5-2cc4-8067-2900-6c3886d275f4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jan 14, 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: I• F•••••••• A••••••• S••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: May 18, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
I• F•••••••• A••••••• S••••••• L••	Independent wealth	Apr 22, 2021	n/a	yes	Mission Viejo, CA\|CHARLOTTE, NC	Current employment
P••••••• A••••••• S•••••••• I•••	Independent wealth	Jan 12, 2021	Feb 10, 2021	no	Orange, CA\|ENGLEWOOD, CO

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P••••••• A••••••• S•••••••• I•••	I• F•••••••• A••••••• S••••••• L••	Feb 10, 2021	Apr 22, 2021	71	Firm change	RIA to ibd

Relationships

Registered with (2)

→ I• F•••••••• A••••••• S••••••• L••Registered adviserregistration: current employment
Apr 22, 2021 to presentfactForm ADV
→ P••••••• A••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jan 12, 2021 to Feb 10, 2021factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:db93f4d5-2cc4-8067-2900-6c3886d275f4
First observed: Jan 14, 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.