DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

C••••••••• A• D•••••••

Advisor at C•••••• S••••• • C••• I•••

Phoenix, AZ

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Search this name across graphsid dfx:ria:3c9a5014-626a-0910-7599-662d3fbee818

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Aug 4, 2008 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•••••• S••••• • C••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Nov 29, 1994earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• S••••• • C••• I•••	National bd RIA	Oct 13, 2021	n/a	yes	Phoenix, AZ	Current employment
E•••••• C•••••• M••••••••• L••	Former SEC adviser	Dec 26, 2018	Sep 16, 2021	no	Scottsdale, AZ\|ARLINGTON, VA\|Gilbert, AZ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E•••••• C•••••• M••••••••• L••	C•••••• S••••• • C••• I•••	Sep 16, 2021	Oct 13, 2021	27	Firm change	RIA to ibd
T• A••••••••• I••••••••• M••••••••• L••	T• A••••••••• I•••	Apr 6, 2017	Dec 21, 2009

Relationships

Registered with (6)

→ C•••••• S••••• • C••• I•••Registered adviserregistration: current employment
Oct 13, 2021 to presentfactForm ADV
→ E•••••• C•••••• M••••••••• L••Registered adviserregistration: previous registration
Dec 26, 2018 to Sep 16, 2021factForm ADV
→ T• A••••••••• I••••••••• M••••••••• L••Registered adviserregistration: previous registration
Dec 21, 2009 to Apr 6, 2017factForm ADV
→ T• A••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3c9a5014-626a-0910-7599-662d3fbee818
First observed: Aug 4, 2008
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.