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

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

C•••••• C••••

Advisor at P•••••••• F•••••••• S•••••••

ASTORIA, NY | LOS ANGELES, CA

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Search this name across graphsid dfx:ria:2955099e-78b4-f7e2-92ec-e1a4d666d3c9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Jan 18, 2022 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: P•••••••• F•••••••• S•••••••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 1, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
P•••••••• F•••••••• S•••••••	Independent wealth	Sep 4, 2024	n/a	yes	ASTORIA, NY\|LOS ANGELES, CA	Current employment
M•• I•••••••• S•••••••• L••	Bd affiliated wealth	Jan 18, 2022	Sep 4, 2024	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
M•• I•••••••• S•••••••• L••	P•••••••• F•••••••• S•••••••	Sep 4, 2024	Sep 4, 2024	0	Firm change	Ibd to RIA

Relationships

Registered with (2)

→ P•••••••• F•••••••• S•••••••Registered adviserregistration: current employment
Sep 4, 2024 to presentfactForm ADV
→ M•• I•••••••• S•••••••• L••Registered adviserregistration: previous registration
Jan 18, 2022 to Sep 4, 2024factForm ADV

Dated events

Occurred
Sep 4, 2024
Advisor changed firm
C•••••• C•••• left M•• I•••••••• S•••••••• L•• for P•••••••• F•••••••• S••••••• (registered 2024-09-04)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2955099e-78b4-f7e2-92ec-e1a4d666d3c9
First observed: Jan 18, 2022
Last observed: Sep 14, 2026 7 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.