DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner25 years in industry

S•••• F•••••••• C•••••

Advisor at C••••• W••••• M•••••••••

ARCADIA, CA

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Search this name across graphsid dfx:ria:18e3d935-982b-66dc-f2f2-f73c5bf20d0e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Sep 26, 2001 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••••• W••••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 16, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• W••••• M•••••••••	Independent wealth	Jul 20, 2009	n/a	yes	ARCADIA, CA	Current employment
L••• F•••••••• • I•••••••• S•••••••	n/a	Aug 12, 2002	Mar 23, 2011	no	PASADENA, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L••• F•••••••• • I•••••••• S•••••••	C••••• W••••• M•••••••••	Mar 23, 2011	Jul 20, 2009	-611	Firm change after gap	Other
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••	L••• F•••••••• • I•••••••• S•••••••	Aug 8, 2002

Relationships

Registered with (3)

→ C••••• W••••• M•••••••••Registered adviserregistration: current employment
Jul 20, 2009 to presentfactForm ADV
→ L••• F•••••••• • I•••••••• S•••••••Registered adviserregistration: previous registration
Aug 12, 2002 to Mar 23, 2011factForm ADV
→ N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Registered adviserregistration: previous registration
Sep 26, 2001 to Aug 8, 2002factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:18e3d935-982b-66dc-f2f2-f73c5bf20d0e
First observed: Sep 26, 2001
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.