DFX Intelligence

C•••••••• M••••••• W••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner41 years in industry

C•••••••• M••••••• W••••

Advisor at I••••••••• W••••• C••••••• L••

DEL MAR, CA | SAN DIEGO, CA

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Search this name across graphsid dfx:ria:ecb7b023-574c-1aa9-b618-3b0ad4a327e9

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Aug 3, 1998 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: I••••••••• W••••• C••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jun 4, 1985earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
I••••••••• W••••• C••••••• L••	Independent wealth	Jan 2, 2026	n/a	yes	SAN DIEGO, CA\|DEL MAR, CA	Current employment
L••••• W••••• A•••••••• I•••	Former SEC adviser	Jan 31, 2021	Mar 31, 2023	no	Del Mar, CA\|SOLANA BEACH, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L••••• W••••• A•••••••• I•••	I••••••••• W••••• C••••••• L••	Mar 31, 2023	Jan 2, 2026	1,008	Bulk transfer	RIA to RIA
T•••• S••••• A•••••••• L••	L••••• W••••• A•••••••• I•••	Nov 17, 2016	Sep 30, 2016

Relationships

Registered with (5)

→ I••••••••• W••••• C••••••• L••Registered adviserregistration: current employment
Jan 2, 2026 to presentfactForm ADV
→ L••••• W••••• A•••••••• I•••Registered adviserregistration: previous registration
Jan 31, 2021 to Mar 31, 2023factForm ADV
→ T•••• S••••• A•••••••• L••Registered adviserregistration: previous registration
Jun 6, 2000 to Nov 17, 2016factForm ADV
→ N•••• A•••••••• I•••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ecb7b023-574c-1aa9-b618-3b0ad4a327e9
First observed: Aug 3, 1998
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.