DFX Intelligence

E•••••• C•••••••• A•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

E•••••• C•••••••• A•••••••

Advisor at S••••• A•••••••• L••

SAN DIEGO, CA | Pasadena, 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:dfc0bb83-f752-3b9c-10e7-029279e06388

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:41 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Aug 12, 2016 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: S••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Mar 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• A•••••••• L••	Independent wealth	Jun 5, 2024	n/a	yes	Pasadena, CA\|SAN DIEGO, CA	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Nov 29, 2017	Apr 17, 2018	no	WEST COVINA, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T•••••• C••••••• I•••	L•• F•••••••• L••	Apr 25, 2024	Nov 29, 2017	-2,339	Firm change after gap	RIA to RIA
L•• F•••••••• L••	S••••• A•••••••• L••	Apr 17, 2018	Jun 5, 2024

Team moves

••• Locked

Team	Left	Joined	From	Kind
6413:329415:CA:2018-04-13	Apr 17, 2018	Jun 5, 2024	WEST COVINA, CA	Firm change after gap
29604:281597:CA:2017-11-29	Nov 29, 2017	Sep 8, 2016	WEST COVINA, CA	Firm change after gap

Relationships

Registered with (4)

→ S••••• A•••••••• L••Registered adviserregistration: current employment
Jun 5, 2024 to presentfactForm ADV
→ T•••••• C••••••• I•••Registered adviserregistration: previous registration
Sep 8, 2016 to Apr 25, 2024factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Nov 29, 2017 to Apr 17, 2018factForm ADV
→ N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••

Dated events

Occurred
Apr 25, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:dfc0bb83-f752-3b9c-10e7-029279e06388
First observed: Aug 12, 2016
Last observed: Sep 15, 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.