DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)48 years in industry

W•••••• A••••• M•••••

Advisor at C••••••• A•••• M••••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:089ec1fe-7134-67f5-0be1-23511099c864

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Apr 30, 1997 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••••••• A•••• M••••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 1, 1978earliest registration or exam on IAPD
Years in industry: 48derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••• A•••• M••••••••• L••	Bd affiliated wealth	Aug 3, 2018	n/a	yes	San Diego, CA\|ANN ARBOR, MI\|Del Mar, CA	Current employment
I••••••••• F•••••••• G••••• L••	Bd affiliated wealth	Oct 17, 2005	Jul 31, 2018	no	SAN DIEGO, CA\|SAN DIEGO, CA

Moves

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From	To	Left	Joined	Gap, days	Kind	Move type
I••••••••• F•••••••• G••••• L••	C••••••• A•••• M••••••••• L••	Jul 31, 2018	Aug 3, 2018	3	Firm change	Ibd to ibd
F•••••••• D•••••• L•••	I••••••••• F•••••••• G••••• L••	Jan 14, 2016	Oct 17, 2005

Team moves

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Team	Left	Joined	From	Kind
7717:140367:CA:2018-07-24	Jul 31, 2018	Aug 3, 2018	SAN DIEGO, CA	Firm change

Relationships

Registered with (3)

→ C••••••• A•••• M••••••••• L••Registered adviserregistration: current employment
Aug 3, 2018 to presentfactForm ADV
→ I••••••••• F•••••••• G••••• L••Registered adviserregistration: previous registration
Oct 17, 2005 to Jul 31, 2018factForm ADV
→ F•••••••• D•••••• L•••Registered adviserregistration: previous registration
Apr 30, 1997 to Jan 14, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:089ec1fe-7134-67f5-0be1-23511099c864
First observed: Apr 30, 1997
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.