DFX Intelligence

V•••••• T•••• L•: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

V•••••• T•••• L•

Advisor at C••••• I••••••••• A••••••• L••

Newport Beach, CA

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Search this name across graphsid dfx:ria:fac81346-85ac-f927-c0f6-32200f62ea9e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 3
On other graphs: 0
Observed: Jan 4, 2012 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: C••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 12, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 7

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Apr 2, 2026	n/a	yes	Newport Beach, CA	Current employment
M••••• S••••••	Wirehouse	Jun 28, 2023	Apr 22, 2026	no	SANTA ANA, CA\|Brea, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	C••••• I••••••••• A••••••• L••	Apr 22, 2026	Apr 2, 2026	-20	Firm change	Wirehouse to ibd
F••••••• P••••••• A•• W•••••••• A•••••••	M••••• S••••••	Jun 21, 2023	Jun 28, 2023

Relationships

Registered with (8)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Apr 2, 2026 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 28, 2023 to Apr 22, 2026factForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Feb 17, 2023 to Jun 21, 2023factForm ADV
→ A••••••••• F•••••••• S•••••••• L••

Dated events

Occurred
Apr 22, 2026
Advisor changed firm
V•••••• T•••• L• left M••••• S•••••• for C••••• I••••••••• A••••••• L•• (registered 2026-04-02)
Form ADVobserved 7 days ago
Occurred
Jun 21, 2023
Advisor changed firm
V•••••• T•••• L• left F••••••• P••••••• A•• W•••••••• A••••••• for M••••• S•••••• (registered 2023-06-28)
Form ADVobserved 7 days ago
Occurred
Jan 10, 2023
Advisor changed firm
V•••••• T•••• L• left A••••••••• F•••••••• S•••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-02-17)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fac81346-85ac-f927-c0f6-32200f62ea9e
First observed: Jan 4, 2012
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.