DFX Intelligence

R••• A••••• T•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)40 years in industry

R••• A••••• T•••••••

Advisor at C• • T• F•••••••• S••••••• G••••• I•••

PACIFIC GROVE, CA

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Search this name across graphsid dfx:ria:1fed6628-938a-669f-fe96-4d7b37087651

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Oct 16, 2012 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• • T• F•••••••• S••••••• G••••• I•••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Jan 28, 1986earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 22derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C• • T• F•••••••• S••••••• G••••• I•••	State registered	Nov 25, 2003	n/a	yes	PACIFIC GROVE, CA	Current employment
W••• A•••••••••	Former SEC adviser	Oct 16, 2012	Jun 25, 2015	no	PACIFIC GROVE, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W••• A•••••••••	n/a	Jun 25, 2015	n/a	n/a	Departure no registered destination	Departure

Relationships

Registered with (2)

→ C• • T• F•••••••• S••••••• G••••• I•••Registered adviserregistration: current employment
Nov 25, 2003 to presentfactForm ADV
→ W••• A•••••••••Registered adviserregistration: previous registration
Oct 16, 2012 to Jun 25, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1fed6628-938a-669f-fe96-4d7b37087651
First observed: Oct 16, 2012
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.