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

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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

D•••• C••• H•••

Advisor at A•••• W••••• A•••••••• L••

San Luis Obispo, CA

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Search this name across graphsid dfx:ria:325ed234-c02e-0450-0ea6-9133d06aa61f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Oct 23, 2001 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: A•••• W••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 11, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 16derivedfrom 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
A•••• W••••• A•••••••• L••	Bd affiliated wealth	Jun 7, 2010	n/a	yes	San Luis Obispo, CA	Current employment
C••••• S••••• A•••••••• I•••	Former SEC adviser	Feb 17, 2022	Nov 16, 2023	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
C••••• S••••• A•••••••• I•••	n/a	Nov 16, 2023	n/a	n/a	Departure no registered destination	Departure
P•••••• C••••••••• G••••• I•••	A•••• W••••• A•••••••• L••	Sep 15, 2008	Jun 7, 2010

Relationships

Registered with (3)

→ A•••• W••••• A•••••••• L••Registered adviserregistration: current employment
Jun 7, 2010 to presentfactForm ADV
→ C••••• S••••• A•••••••• I•••Registered adviserregistration: previous registration
Feb 17, 2022 to Nov 16, 2023factForm ADV
→ P•••••• C••••••••• G••••• I•••Registered adviserregistration: previous registration
Oct 23, 2001 to Sep 15, 2008factForm ADV

Dated events

Occurred
Nov 16, 2023
Advisor departed, no destination yet
D•••• C••• H••• no longer registered at C••••• S••••• A•••••••• I•••; no later IA registration on IAPD
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:325ed234-c02e-0450-0ea6-9133d06aa61f
First observed: Oct 23, 2001
Last observed: Sep 14, 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.