DFX Intelligence

M•••••• C•••••• N•••••: 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)20 years in industry

M•••••• C•••••• N•••••

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

ANAHEIM HILLS, CA | NORTH TUSTIN, 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:2c1c7f76-3400-2906-b5e8-574737132c5a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jan 16, 2006 to Sep 15, 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: Jan 13, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Jan 25, 2013	n/a	yes	NORTH TUSTIN, CA\|ANAHEIM HILLS, CA	Current employment
W•••• F•••• A•••••••	Wirehouse	Jan 3, 2011	Feb 7, 2013	no	EL SEGUNDO, CA\|COSTA MESA, CA\|IRVINE, CA\|ANAHEIM, CA\|NEWPORT BEACH, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	C••••• I••••••••• A••••••• L••	Feb 7, 2013	Jan 25, 2013	-13	Firm change	Other
W•••• F•••• I••••••••• L••	W•••• F•••• A•••••••	Jan 3, 2011	Jan 3, 2011

Relationships

Registered with (3)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Jan 25, 2013 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jan 3, 2011 to Feb 7, 2013factForm ADV
→ W•••• F•••• I••••••••• L••Registered adviserregistration: previous registration
Jan 16, 2006 to Jan 3, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2c1c7f76-3400-2906-b5e8-574737132c5a
First observed: Jan 16, 2006
Last observed: Sep 15, 2026 8 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.