DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner12 years in industry

P•••••• T••••• C••••••

Advisor at E•••••• F••••••••• L•• D•• E•••••• A•••• M•••••••••

••• Locked

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:eb073801-dffe-f659-116d-2c4c842bdafa

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Aug 28, 2017 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: E•••••• F••••••••• L•• D•• E•••••• A•••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Feb 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
E•••••• F••••••••• L•• D•• E•••••• A•••• M•••••••••	Independent wealth	Apr 28, 2026	n/a	yes	Capitola, CA\|Monterey, CA\|MCLEAN, VA	Current employment
E•••••• A•••• M••••••••• L••	Former SEC adviser	Aug 28, 2017	Apr 23, 2026	no	CARMEL, CA\|Monterey, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E•••••• A•••• M••••••••• L••	E•••••• F••••••••• L•• D•• E•••••• A•••• M•••••••••	Apr 23, 2026	Apr 28, 2026	5	Firm change	RIA to RIA

Team moves

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Team	Left	Joined	From	Kind
135188:340506:CA:2026-04-23	Apr 23, 2026	Apr 28, 2026	MONTEREY, CA	Firm change

Relationships

Registered with (2)

→ E•••••• F••••••••• L•• D•• E•••••• A•••• M•••••••••Registered adviserregistration: current employment
Apr 28, 2026 to presentfactForm ADV
→ E•••••• A•••• M••••••••• L••Registered adviserregistration: previous registration
Aug 28, 2017 to Apr 23, 2026factForm ADV

Dated events

Occurred
Apr 23, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:eb073801-dffe-f659-116d-2c4c842bdafa
First observed: Aug 28, 2017
Last observed: Sep 14, 2026 9 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.