DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)30 years in industry

B••••••• Y•• C••••• W•••

Advisor at C••••• I••••••••• A••••••• L••

WALNUT CREEK, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2669b922-67c1-02d3-a324-c141df04c93c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Jun 18, 1999 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••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Apr 3, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Jun 29, 2023	n/a	yes	WALNUT CREEK, CA	Current employment
T•• P•••••• C••••• F•• F•••••••• S•••••••	Independent wealth	Jun 18, 1999	Sep 1, 2022	no	WALNUT CREEK, CA\|WALNUT CREEK, CA\|Walnut Creek, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T•• P•••••• C••••• F•• F•••••••• S•••••••	C••••• I••••••••• A••••••• L••	Sep 1, 2022	Jun 29, 2023	301	Firm change	RIA to ibd

Relationships

Registered with (2)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Jun 29, 2023 to presentfactForm ADV
→ T•• P•••••• C••••• F•• F•••••••• S•••••••Registered adviserregistration: previous registration
Jun 18, 1999 to Sep 1, 2022factForm ADV

Dated events

Occurred
Sep 1, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2669b922-67c1-02d3-a324-c141df04c93c
First observed: Jun 18, 1999
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.