DFX Intelligence

A••••••• S••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)32 years in industry

A••••••• S••••

Advisor at S••••• A•••••••• L••

Costa Mesa, CA | SAN DIEGO, CA

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Search this name across graphsid dfx:ria:f53a1f64-72d0-0cca-e3f3-16c1585f8579

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jun 28, 1999 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: S••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Sep 1, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• A•••••••• L••	Independent wealth	Feb 23, 2024	n/a	yes	SAN DIEGO, CA\|Costa Mesa, CA	Current employment
M•• I•••••••• S•••••••• L••	Bd affiliated wealth	Mar 25, 2017	Mar 6, 2024	no	LOS ANGELES, CA\|Los Angeles, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•• I•••••••• S•••••••• L••	S••••• A•••••••• L••	Mar 6, 2024	Feb 23, 2024	-12	Bulk transfer	Ibd to new firm
M•• F•••••••• S•••••••• I•••	M•• I•••••••• S•••••••• L••	Mar 25, 2017	Mar 25, 2017

Relationships

Registered with (3)

→ S••••• A•••••••• L••Registered adviserregistration: current employment
Feb 23, 2024 to presentfactForm ADV
→ M•• I•••••••• S•••••••• L••Registered adviserregistration: previous registration
Mar 25, 2017 to Mar 6, 2024factForm ADV
→ M•• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jun 28, 1999 to Mar 25, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f53a1f64-72d0-0cca-e3f3-16c1585f8579
First observed: Jun 28, 1999
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.