DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultant26 years in industry

R••• R•••• R•••••

Advisor at C••• L••

••• Locked

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 3:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 2
On other graphs: 0
Observed: Mar 16, 2001 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••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 11, 1999earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 8

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••• L••	Bd affiliated wealth	Apr 27, 2026	n/a	yes	FRESNO, CA\|OMAHA, NE\|LAS VEGAS, NV	Current employment
F••••••	Independent wealth	Oct 1, 2025	Apr 30, 2026	no	Las Vegas, NV\|SAN FRANCISCO, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F••••••	C••• L••	Apr 30, 2026	Apr 27, 2026	-3	Firm change	RIA to ibd
C••••••••• F•••••••• N••••••	F••••••	Sep 30, 2025	Oct 1, 2025

Team moves

••• Locked

Team	Left	Joined	From	Kind
8032:302050:CA:2025-09-30	Sep 30, 2025	Oct 1, 2025	FRESNO, CA	Firm change

Relationships

Registered with (9)

→ C••• L••Registered adviserregistration: current employment
Apr 27, 2026 to presentfactForm ADV
→ F••••••Registered adviserregistration: previous registration
Oct 1, 2025 to Apr 30, 2026factForm ADV
→ C••••••••• F•••••••• N••••••Registered adviserregistration: previous registration
Sep 27, 2021 to Sep 30, 2025factForm ADV
→ C••••• A•••••• N••••••• L••

Dated events

Order

Occurred
30 Apr 2026
Advisor changed firm
••• Locked
Form ADV
Occurred
30 Sep 2025
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 16, 2001
Last observed: Sep 15, 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.