DFX Intelligence

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

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RIA / WealthAdvisor22 years in industry

I••• B••••••• I•••

Advisor at C••••••••• F•••••••• N••••••

Westlake Village, CA

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Search this name across graphsid dfx:ria:41392b42-394f-49d7-f011-fa48337d2e94

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 25, 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••••••••• F•••••••• N••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Sep 8, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••••• F•••••••• N••••••	National bd RIA	Mar 15, 2019	n/a	yes	Westlake Village, CA	Current employment
A••••• W••••• M•••••••••	Former SEC adviser	Jan 24, 2018	Feb 7, 2019	no	WESTLAKE VILLAGE, CA\|LOS ANGELES, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••• W••••• M•••••••••	C••••••••• F•••••••• N••••••	Feb 7, 2019	Mar 15, 2019	36	Firm change	RIA to ibd
C••••• A•••••• N••••••• L••	A••••• W••••• M•••••••••	Jul 2, 2018	Jan 24, 2018

Team moves

••• Locked

Team	Left	Joined	From	Kind
13572:175028:CA:2018-07-02	Jul 2, 2018	Jan 24, 2018	WESTLAKE, CA	Firm change after gap

Relationships

Registered with (3)

→ C••••••••• F•••••••• N••••••Registered adviserregistration: current employment
Mar 15, 2019 to presentfactForm ADV
→ A••••• W••••• M•••••••••Registered adviserregistration: previous registration
Jan 24, 2018 to Feb 7, 2019factForm ADV
→ C••••• A•••••• N••••••• L••Registered adviserregistration: previous registration
Mar 25, 2008 to Jul 2, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:41392b42-394f-49d7-f011-fa48337d2e94
First observed: Mar 25, 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.