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

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RIA / WealthAdvisorCertified Financial Planner17 years in industry

S•••• Y••• C••

Advisor at A•••••••• A••••• L••

BUENA PARK, CA

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Search this name across graphsid dfx:ria:181ebcea-677d-db1d-61e3-30f2e998446c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Oct 12, 2018 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: A•••••••• A••••• L••
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 1, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 1

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
A•••••••• A••••• L••	State registered	Nov 4, 2020	n/a	yes	BUENA PARK, CA	Current employment
A•••••••• A•••• M••••••••• L••	n/a	Oct 12, 2018	Dec 31, 2022	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
A•••••••• A•••• M••••••••• L••	A•••••••• A••••• L••	Dec 31, 2022	Nov 4, 2020	-787	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
294140:309523:CA:2022-12-31	Dec 31, 2022	Nov 4, 2020	LOS ANGELES, CA	Firm change after gap

Relationships

Registered with (2)

→ A•••••••• A••••• L••Registered adviserregistration: current employment
Nov 4, 2020 to presentfactForm ADV
→ A•••••••• A•••• M••••••••• L••Registered adviserregistration: previous registration
Oct 12, 2018 to Dec 31, 2022factForm ADV

Dated events

Occurred
Dec 31, 2022
Advisor changed firm
S•••• Y••• C•• left A•••••••• A•••• M••••••••• L•• for A•••••••• A••••• L•• (registered 2020-11-04)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:181ebcea-677d-db1d-61e3-30f2e998446c
First observed: Oct 12, 2018
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.