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RIA / WealthAdvisor33 years in industry

ALAN ALFREDO FLORES

Advisor at DARKHORSE ADVISOR

NEWPORT BEACH, CA

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Search this name across graphsid dfx:ria:ebb48e24-49de-edd2-ae4d-03334aa5b2d9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 8, 1997 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: DARKHORSE ADVISOR
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 17, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Aug 17, 1993
First registration: Jul 8, 1997
Dual registered: no
Other names: ALAN ALFREDO FLORES
IAPD individual key: 2372912

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
DARKHORSE ADVISOR	State registered	Jun 25, 2020	n/a	yes	NEWPORT BEACH, CA	Current employment
CLEARVIEW INVESTMENT PARTNERS, LLC	Independent wealth	May 22, 2009	Jun 3, 2020	no	COSTA MESA, CA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jun 28, 2002	Jun 4, 2009	no	NEWPORT BEACH, CA\|NEWPORT BEACH, CA	Previous registration
A. G. EDWARDS & SONS, INC.	n/a	Jul 8, 1997	Jul 11, 2002	no	IRVINE, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CLEARVIEW INVESTMENT PARTNERS, LLC	DARKHORSE ADVISOR	Jun 3, 2020	Jun 25, 2020	22	Firm change	RIA to state RIA
UBS FINANCIAL SERVICES INC.	CLEARVIEW INVESTMENT PARTNERS, LLC	Jun 4, 2009	May 22, 2009	-13	Firm change	Other
A. G. EDWARDS & SONS, INC.	UBS FINANCIAL SERVICES INC.	Jul 11, 2002	Jun 28, 2002	-13	Firm change	Other

Relationships

Registered with (4)

→ DARKHORSE ADVISORRegistered adviserregistration: current employment
Jun 25, 2020 to presentfactForm ADV
→ CLEARVIEW INVESTMENT PARTNERS, LLCRegistered adviserregistration: previous registration
May 22, 2009 to Jun 3, 2020factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jun 28, 2002 to Jun 4, 2009factForm ADV
→ A. G. EDWARDS & SONS, INC.Registered adviserregistration: previous registration
Jul 8, 1997 to Jul 11, 2002factForm ADV

Dated events

No dated event names this entity yet.