DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner17 years in industry

C••••••• M•••• C•••••••

Advisor at E•••••••• W••••• M•••••••••

••• Locked

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Search this name across graphsid dfx:ria:410d6a3c-ae1d-3002-ae6b-c946bdaeb2ac

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Aug 18, 2009 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: E•••••••• W••••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Aug 17, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
E•••••••• W••••• M•••••••••	Independent wealth	Jan 26, 2021	n/a	yes	SEATTLE, WA\|Irvine, CA\|Los Angeles, CA	Current employment
S•••••• W••••• P•••••••• L••	Bd affiliated wealth	Jun 1, 2020	Jan 11, 2021	no	Irvine, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••• W••••• P•••••••• L••	E•••••••• W••••• M•••••••••	Jan 11, 2021	Jan 26, 2021	15	Firm change	Ibd to RIA
F••••••• P••••••• A•• W•••••••• A•••••••	S•••••• W••••• P•••••••• L••	Jun 30, 2020	Jun 1, 2020

Relationships

Registered with (6)

→ E•••••••• W••••• M•••••••••Registered adviserregistration: current employment
Jan 26, 2021 to presentfactForm ADV
→ S•••••• W••••• P•••••••• L••Registered adviserregistration: previous registration
Jun 1, 2020 to Jan 11, 2021factForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Jul 13, 2018 to Jun 30, 2020factForm ADV
→ S•••••••• A••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:410d6a3c-ae1d-3002-ae6b-c946bdaeb2ac
First observed: Aug 18, 2009
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.