DFX Intelligence

D•••••• C•••• D• G•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner29 years in industry

D•••••• C•••• D• G•••••

Advisor at D• G••••• F•••••••• G••••• L••

THOUSAND OAKS, CA

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Search this name across graphsid dfx:ria:ee63df0b-479c-60a8-1d81-4829fa681a20

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

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 20, 1998 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: D• G••••• F•••••••• G••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Mar 6, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
D• G••••• F•••••••• G••••• L••	Independent wealth	Sep 5, 2013	n/a	yes	THOUSAND OAKS, CA	Current employment
G••••• S••••••••• I•••	Former SEC adviser	Sep 20, 2006	Dec 31, 2016	no	WESTLAKE VILLAGE, CA\|MISSION VIEJO, CA\|SAN DIEGO, CA\|CORPUS CHRISTI, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
G••••• S••••••••• I•••	D• G••••• F•••••••• G••••• L••	Dec 31, 2016	Sep 5, 2013	-1,213	Firm change after gap	Other
U••••• C•••••• F•••••••• A•••••••	G••••• S••••••••• I•••	Sep 13, 2013	Sep 20, 2006

Relationships

Registered with (4)

→ D• G••••• F•••••••• G••••• L••Registered adviserregistration: current employment
Sep 5, 2013 to presentfactForm ADV
→ G••••• S••••••••• I•••Registered adviserregistration: previous registration
Sep 20, 2006 to Dec 31, 2016factForm ADV
→ U••••• C•••••• F•••••••• A•••••••Registered adviserregistration: previous registration
Sep 20, 2006 to Sep 13, 2013factForm ADV
→ C••••••• W••••• • C••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ee63df0b-479c-60a8-1d81-4829fa681a20
First observed: Jan 20, 1998
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.