DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)16 years in industry

C•••••••• K•• Y•••

Advisor at C•••••• S••••• • C••• I•••

San Ramon, CA | Oakland, CA

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Search this name across graphsid dfx:ria:2e1445de-bfa0-8edd-c7f2-b5c510c71a72

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Nov 25, 2009 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•••••• S••••• • C••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Nov 23, 2009earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• S••••• • C••• I•••	National bd RIA	Mar 29, 2018	n/a	yes	Oakland, CA\|San Ramon, CA	Current employment
N•••••••• B••••• B• L••	No RAUM reported	Sep 24, 2012	Sep 27, 2017	no	SAN FRANCISCO, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N•••••••• B••••• B• L••	C•••••• S••••• • C••• I•••	Sep 27, 2017	Mar 29, 2018	183	Firm change	Other
C••••••••• W••••• A••••••• L••	N•••••••• B••••• B• L••	Sep 14, 2012	Sep 24, 2012

Relationships

Registered with (4)

→ C•••••• S••••• • C••• I•••Registered adviserregistration: current employment
Mar 29, 2018 to presentfactForm ADV
→ N•••••••• B••••• B• L••Registered adviserregistration: previous registration
Sep 24, 2012 to Sep 27, 2017factForm ADV
→ C••••••••• W••••• A••••••• L••Registered adviserregistration: previous registration
Mar 7, 2011 to Sep 14, 2012factForm ADV
→ L•• F•••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2e1445de-bfa0-8edd-c7f2-b5c510c71a72
First observed: Nov 25, 2009
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.