DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Analystdual registered (broker-dealer)20 years in industry

E••• D• R••••••

Advisor at S•••• P••••••• W••••• M••••••••• L••

LOS ANGELES, CA

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Search this name across graphsid dfx:ria:f4a6e7c4-78dd-6372-9fc7-1ae2466b3e88

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 23, 2006 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: S•••• P••••••• W••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 20, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••• P••••••• W••••• M••••••••• L••	Independent wealth	Mar 22, 2018	n/a	yes	LOS ANGELES, CA	Current employment
S•••• P••••••• W••••• M••••••••• L••	Independent wealth	Mar 22, 2018	Dec 31, 2024	no	LOS ANGELES, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••••• G••••• M•••••• I•••	S•••• P••••••• W••••• M••••••••• L••	Mar 16, 2018	Mar 22, 2018	6	Firm change	Ibd to RIA
C••••••• I••••••••• S•••••••	C•••••••• G••••• M•••••• I•••	May 29, 2007	May 29, 2007

Relationships

Registered with (3)

→ S•••• P••••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Mar 22, 2018 to Dec 31, 2024factForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
May 29, 2007 to Mar 16, 2018factForm ADV
→ C••••••• I••••••••• S•••••••Registered adviserregistration: previous registration
Mar 23, 2006 to May 29, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f4a6e7c4-78dd-6372-9fc7-1ae2466b3e88
First observed: Mar 23, 2006
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.