DFX Intelligence

C•••• T••••••• H•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

C•••• T••••••• H•••••

Advisor at C•••••• C•••••• M••••••••• A•••••••• L••

Dana Point, CA | LISLE, IL

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Search this name across graphsid dfx:ria:24620b20-564c-8565-1226-754b73100927

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Mar 24, 2015 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•••••• C•••••• M••••••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Dec 12, 2011earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• C•••••• M••••••••• A•••••••• L••	Independent wealth	Mar 14, 2023	n/a	yes	Dana Point, CA\|LISLE, IL	Current employment
O••••••••• • C•• I•••	Bd affiliated wealth	Jun 7, 2018	Mar 3, 2023	no	NEWPORT BEACH, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O••••••••• • C•• I•••	C•••••• C•••••• M••••••••• A•••••••• L••	Mar 3, 2023	Mar 14, 2023	11	Firm change	Other
W•••••• S••••••••• I•••	O••••••••• • C•• I•••	Jun 26, 2018	Jun 7, 2018

Relationships

Registered with (3)

→ C•••••• C•••••• M••••••••• A•••••••• L••Registered adviserregistration: current employment
Mar 14, 2023 to presentfactForm ADV
→ O••••••••• • C•• I•••Registered adviserregistration: previous registration
Jun 7, 2018 to Mar 3, 2023factForm ADV
→ W•••••• S••••••••• I•••Registered adviserregistration: previous registration
Mar 24, 2015 to Jun 26, 2018factForm ADV

Dated events

Occurred
Mar 3, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:24620b20-564c-8565-1226-754b73100927
First observed: Mar 24, 2015
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.