DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)28 years in industry

C••••••••• S•••••• T•••••

Advisor at C• T••••• W••••• M•••••••••

COSTA MESA, CA

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Search this name across graphsid dfx:ria:04fabcde-4d21-5a06-f961-c4132d99488f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Mar 14, 2002 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• T••••• W••••• M•••••••••
Current firm class: former SEC adviserderived
Book size: not public••• Locked
Industry start: Oct 9, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C• T••••• W••••• M•••••••••	Former SEC adviser	Apr 7, 2017	n/a	yes	COSTA MESA, CA	Current employment
C••••••••• F•••••••• N••••••	National bd RIA	Mar 14, 2002	Dec 15, 2010	no	MIAMI, FL\|LONG BEACH, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••••• F•••••••• N••••••	C• T••••• W••••• M•••••••••	Dec 15, 2010	Apr 7, 2017	2,305	Firm change after gap	Other

Relationships

Registered with (2)

→ C• T••••• W••••• M•••••••••Registered adviserregistration: current employment
Apr 7, 2017 to presentfactForm ADV
→ C••••••••• F•••••••• N••••••Registered adviserregistration: previous registration
Mar 14, 2002 to Dec 15, 2010factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:04fabcde-4d21-5a06-f961-c4132d99488f
First observed: Mar 14, 2002
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.