DFX Intelligence

R•• O••• D•••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor11 years in industry

R•• O••• D•••••••••

Advisor at I•••••••• C•••••• M••••••••• L••

SANTA BARBARA, CA

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Search this name across graphsid dfx:ria:ee043b74-3cca-d1b7-29a3-1d7308447101

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Dec 8, 2015 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: I•••••••• C•••••• M••••••••• L••
Current firm class: former SEC adviserderived
Book size: not public••• Locked
Industry start: Feb 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
I•••••••• C•••••• M••••••••• L••	Former SEC adviser	Aug 24, 2020	n/a	yes	SANTA BARBARA, CA	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Jul 13, 2016	Aug 25, 2020	no	WESTLAKE VILLAGE, CA\|WESTLAKE VILLAGE, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	I•••••••• C•••••• M••••••••• L••	Aug 25, 2020	Aug 24, 2020	-1	Firm change	Wirehouse to new firm
Q•••• C•••••• S••••••••• I•••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Jul 25, 2016

Relationships

Registered with (3)

→ I•••••••• C•••••• M••••••••• L••Registered adviserregistration: current employment
Aug 24, 2020 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Jul 13, 2016 to Aug 25, 2020factForm ADV
→ Q•••• C•••••• S••••••••• I•••Registered adviserregistration: previous registration
Dec 8, 2015 to Jul 25, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ee043b74-3cca-d1b7-29a3-1d7308447101
First observed: Dec 8, 2015
Last observed: Sep 14, 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.