DFX Intelligence

M••• S••••• R••••••••: advisor on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)44 years in industry

M••• S••••• R••••••••

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

MERIDIAN, ID | EL SEGUNDO, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphs

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: May 12, 1997 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••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 1, 1982earliest registration or exam on IAPD
Years in industry: 44derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 7

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Sep 5, 2025	n/a	yes	MERIDIAN, ID\|EL SEGUNDO, CA	Current employment
A•••••• A••••••• S•••••••	Former SEC adviser	Feb 10, 2025	Sep 5, 2025	no	DALLAS, TX\|EL SEGUNDO, CA\|MERIDIAN, ID

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A•••••• A••••••• S•••••••	C••••• I••••••••• A••••••• L••	Sep 5, 2025	Sep 5, 2025	0	Bulk transfer	Ibd to ibd
I••••••••• F•••••••• G••••• L••	A•••••• A••••••• S•••••••	Feb 10, 2025	Feb 10, 2025

Team moves

••• Locked

Team	Left	Joined	From	Kind
148450:7717:CA:2020-03-06	Mar 6, 2020	Dec 16, 2013	EL SEGUNDO, CA	Firm change after gap

Relationships

Registered with (7)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Sep 5, 2025 to presentfactForm ADV
→ A•••••• A••••••• S•••••••Registered adviserregistration: previous registration
Feb 10, 2025 to Sep 5, 2025factForm ADV
→ I••••••••• F•••••••• G••••• L••Registered adviserregistration: previous registration
Dec 16, 2013 to Feb 10, 2025factForm ADV
→ T••••••• F••••••••

Dated events

Order

Occurred
10 Feb 2025
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: May 12, 1997
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.