DFX Intelligence

C••• M•••••• W••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

C••• M•••••• W••••

Advisor at A••••• A•• P••••••• S•••••••

Sherman Oaks, CA | AGOURA HILLS, CA

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Search this name across graphsid dfx:ria:39e817b4-697b-2786-3d55-68acfa3ba5c5

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 29, 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: A••••• A•• P••••••• S•••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 16, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••• A•• P••••••• S•••••••	Bd affiliated wealth	Jul 26, 2012	n/a	yes	Sherman Oaks, CA\|AGOURA HILLS, CA	Current employment
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••	Former SEC adviser	Aug 3, 2009	Jun 19, 2012	no	LAKE FOREST, CA\|LOS ANGELES, CA\|LAKE FOREST, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••	A••••• A•• P••••••• S•••••••	Jun 19, 2012	Jul 26, 2012	37	Firm change	Other
C••••• A•••• M•••••••••	N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••	Jun 1, 2009

Relationships

Registered with (4)

→ A••••• A•• P••••••• S•••••••Registered adviserregistration: current employment
Jul 26, 2012 to presentfactForm ADV
→ N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Registered adviserregistration: previous registration
Aug 3, 2009 to Jun 19, 2012factForm ADV
→ C••••• A•••• M•••••••••Registered adviserregistration: previous registration
Jan 29, 2004 to Jun 1, 2009factForm ADV
→ C•••••• S••••• • C••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:39e817b4-697b-2786-3d55-68acfa3ba5c5
First observed: Mar 29, 2001
Last observed: Sep 15, 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.