DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

C•••••• A••••••••• K•••••••••

Advisor at C••••••••• F•••••••• N••••••

EL CAJON, CA | SAN DIEGO, CA

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Search this name across graphsid dfx:ria:380d83d2-d670-5157-33f0-2e3d8e36c453

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

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: May 15, 2001 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••••••••• F•••••••• N••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Aug 12, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••••• F•••••••• N••••••	National bd RIA	May 12, 2021	n/a	yes	SAN DIEGO, CA\|EL CAJON, CA	Current employment
I••••••••• F•••••••• G••••• L••	Bd affiliated wealth	May 2, 2018	Apr 23, 2021	no	SAN DIEGO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I••••••••• F•••••••• G••••• L••	C••••••••• F•••••••• N••••••	Apr 23, 2021	May 12, 2021	19	Firm change	Ibd to ibd
T•••• C•••••• M••••••••• I•••	I••••••••• F•••••••• G••••• L••	May 3, 2018	May 2, 2018

Relationships

Registered with (5)

→ C••••••••• F•••••••• N••••••Registered adviserregistration: current employment
May 12, 2021 to presentfactForm ADV
→ I••••••••• F•••••••• G••••• L••Registered adviserregistration: previous registration
May 2, 2018 to Apr 23, 2021factForm ADV
→ T•••• C•••••• M••••••••• I•••Registered adviserregistration: previous registration
Dec 12, 2016 to May 3, 2018factForm ADV
→ L•• F•••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:380d83d2-d670-5157-33f0-2e3d8e36c453
First observed: May 15, 2001
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.