DFX Intelligence

I•••••• A•••••••• J••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor26 years in industry

I•••••• A•••••••• J••••••

Advisor at C••••• P••••••• L••

COSTA MESA, CA | NEW YORK, NY

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 13, 2003 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••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 12, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• P••••••• L••	Independent wealth	Feb 13, 2013	n/a	yes	COSTA MESA, CA\|NEW YORK, NY	Current employment
M•••••••• A•••••••	Former SEC adviser	Nov 16, 2006	Nov 16, 2012	no	IRVINE, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••••• A•••••••	C••••• P••••••• L••	Nov 16, 2012	Feb 13, 2013	89	Firm change	Other
T•• A••••••• S••••••• C•••••••••	M•••••••• A•••••••	Apr 26, 2007	Nov 16, 2006

Relationships

Registered with (4)

→ C••••• P••••••• L••Registered adviserregistration: current employment
Feb 13, 2013 to presentfactForm ADV
→ M•••••••• A•••••••Registered adviserregistration: previous registration
Nov 16, 2006 to Nov 16, 2012factForm ADV
→ T•• A••••••• S••••••• C•••••••••Registered adviserregistration: previous registration
Jan 10, 2006 to Apr 26, 2007factForm ADV
→ S••••••• F•••••••• S•••••••• I•••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 13, 2003
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.