DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)27 years in industry

S•••••• W•••••• C••••

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

LAS VEGAS, NV

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Search this name across graphsid dfx:ria:1658e775-21a1-8f39-2d71-ff91a32283d8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 14, 2005 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: Aug 18, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Feb 20, 2025	n/a	yes	LAS VEGAS, NV	Current employment
C•••••••• F•••••••• G•••• A•••••••	Former SEC adviser	Sep 23, 2019	Feb 20, 2025	no	Las Vegas, NV\|Birmingham, AL\|LAS VEGAS, NV\|BIRMINGHAM, AL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••••• F•••••••• G•••• A•••••••	C••••• I••••••••• A••••••• L••	Feb 20, 2025	Feb 20, 2025	0	Bulk transfer	Ibd to ibd
O•••• F•• I•••	C•••••••• F•••••••• G•••• A•••••••	Sep 17, 2019	Sep 23, 2019

Relationships

Registered with (4)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Feb 20, 2025 to presentfactForm ADV
→ C•••••••• F•••••••• G•••• A•••••••Registered adviserregistration: previous registration
Sep 23, 2019 to Feb 20, 2025factForm ADV
→ O•••• F•• I•••Registered adviserregistration: previous registration
Jun 19, 2013 to Sep 17, 2019factForm ADV
→ L•• F•••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1658e775-21a1-8f39-2d71-ff91a32283d8
First observed: Jun 14, 2005
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.