DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

D•••• M•••••• T••••••

Advisor at R•• S••••••••• I•••

••• Locked

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Search this name across graphsid dfx:ria:dd4d15ee-8b32-44c8-6efd-74d291971012

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Sep 23, 2004 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: R•• S••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 30, 1995earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 9derivedfrom 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	Mar 23, 2017	n/a	yes	Torrance, CA\|LOS ANGELES, CA\|LAS VEGAS, NV\|NEW YORK, NY\|PALOS VERDES ESTATES, CA	Current employment
S•••••••• F•••••••• A••••••• L••	Former SEC adviser	Apr 21, 2022	May 21, 2024	no	NEW YORK, NY\|Los Angeles, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••••• F•••••••• A••••••• L••	n/a	May 21, 2024	n/a	n/a	Departure no registered destination	Departure
U••• B•••••• I••••••••• I•••	R•• S••••••••• I•••	Mar 22, 2017	Mar 23, 2017	1

Relationships

Registered with (5)

→ R•• S••••••••• I•••Registered adviserregistration: current employment
Mar 23, 2017 to presentfactForm ADV
→ S•••••••• F•••••••• A••••••• L••Registered adviserregistration: previous registration
Apr 21, 2022 to May 21, 2024factForm ADV
→ U••• B•••••• I••••••••• I•••Registered adviserregistration: previous registration
Aug 18, 2009 to Mar 22, 2017factForm ADV
→ C•••• I••••••••• S••••••• C••••

Dated events

Occurred
May 21, 2024
Advisor departed, no destination yet
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:dd4d15ee-8b32-44c8-6efd-74d291971012
First observed: Sep 23, 2004
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.