DFX Intelligence

N•••••• R•••• L•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor19 years in industry

N•••••• R•••• L•••••

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

NEWPORT BEACH, CA | Glen Allen, VA

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Search this name across graphsid dfx:ria:38febde3-8352-c402-0403-1567d96ce3a9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Aug 14, 2007 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••••••• P••••••• I••••••••• A•••••••• L••
Current firm class: institutional managerderived
Book size: not public••• Locked
Industry start: Apr 4, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••• P••••••• I••••••••• A•••••••• L••	I•••••••••_MANAGER	Mar 25, 2009	n/a	yes	NEWPORT BEACH, CA\|Glen Allen, VA	Current employment
H•• I••••••••• A•••••••• L••	n/a	Aug 14, 2007	Mar 17, 2009	no	GLEN ALLEN, VA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H•• I••••••••• A•••••••• L••	C••••••• P••••••• I••••••••• A•••••••• L••	Mar 17, 2009	Mar 25, 2009	8	Firm change	Other

Relationships

Registered with (2)

→ C••••••• P••••••• I••••••••• A•••••••• L••Registered adviserregistration: current employment
Mar 25, 2009 to presentfactForm ADV
→ H•• I••••••••• A•••••••• L••Registered adviserregistration: previous registration
Aug 14, 2007 to Mar 17, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:38febde3-8352-c402-0403-1567d96ce3a9
First observed: Aug 14, 2007
Last observed: Sep 14, 2026 9 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.