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

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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

C••• D••••• R•••••••

Advisor at C••••• F••••••••• I••••••••• A•••••••

NEW YORK, NY

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Search this name across graphsid dfx:ria:2d176294-f4cf-d9a0-2f66-bcc1a459f369

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Aug 10, 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••••• F••••••••• I••••••••• A•••••••
Current firm class: mixed wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 9derivedfrom 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
C••••• F••••••••• I••••••••• A•••••••	Mixed wealth	Mar 10, 2017	n/a	yes	NEW YORK, NY	Current employment
E•••••••• M••••• A•••••••• L••	Former SEC adviser	Aug 10, 2015	Mar 24, 2017	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
E•••••••• M••••• A•••••••• L••	C••••• F••••••••• I••••••••• A•••••••	Mar 24, 2017	Mar 10, 2017	-14	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
132188:159296:CA:2017-03-24	Mar 24, 2017	Mar 10, 2017	LA JOLLA, CA	Firm change

Relationships

Registered with (2)

→ C••••• F••••••••• I••••••••• A•••••••Registered adviserregistration: current employment
Mar 10, 2017 to presentfactForm ADV
→ E•••••••• M••••• A•••••••• L••Registered adviserregistration: previous registration
Aug 10, 2015 to Mar 24, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2d176294-f4cf-d9a0-2f66-bcc1a459f369
First observed: Aug 10, 2015
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.