DFX Intelligence

C•••••••• D•••••• B••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Analyst30 years in industry

C•••••••• D•••••• B••••••••

Advisor at C•• A••••••• • C•••••••••

IRVINE, CA

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Search this name across graphsid dfx:ria:19eac34d-a758-6188-3f28-7357535d0df8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Apr 10, 2003 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••••••• • C•••••••••
Current firm class: former SEC adviserderived
Book size: not public••• Locked
Industry start: Mar 4, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•• A••••••• • C•••••••••	Former SEC adviser	Jun 4, 2021	n/a	yes	IRVINE, CA	Current employment
P••••• C•••••• I••••••••• I•••	Former SEC adviser	Sep 26, 2007	Jul 30, 2013	no	ANAHEIM HILLS, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P••••• C•••••• I••••••••• I•••	C•• A••••••• • C•••••••••	Jul 30, 2013	Jun 4, 2021	2,866	Firm change after gap	Other
R••••••••• C•••••• M••••••••• I••	P••••• C•••••• I••••••••• I•••	Dec 31, 2007	Sep 26, 2007

Relationships

Registered with (3)

→ C•• A••••••• • C•••••••••Registered adviserregistration: current employment
Jun 4, 2021 to presentfactForm ADV
→ P••••• C•••••• I••••••••• I•••Registered adviserregistration: previous registration
Sep 26, 2007 to Jul 30, 2013factForm ADV
→ R••••••••• C•••••• M••••••••• I••Registered adviserregistration: previous registration
Apr 10, 2003 to Dec 31, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:19eac34d-a758-6188-3f28-7357535d0df8
First observed: Apr 10, 2003
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.