S•••••• W•••

Advisor at C•••••••• G••••• M•••••• I•••

••• Locked

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, 6:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jul 8, 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•••••••• G••••• M•••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 8, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••• G••••• M•••••• I•••	Bd affiliated wealth	May 5, 2017	n/a	yes	Chino Hills, CA\|Daly City, CA\|San Francisco, CA	Current employment
W•••• F•••• A•••••••	Wirehouse	Jan 20, 2016	Jul 19, 2016	no	SAN FRANCISCO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	C•••••••• G••••• M•••••• I•••	Jul 19, 2016	May 5, 2017	290	Firm change	Other
M••••• S••••••	W•••• F•••• A•••••••	Jan 13, 2016	Jan 20, 2016

Team moves

••• Locked

Team	Left	Joined	From	Kind
149777:19616:CA:2016-01-13	Jan 13, 2016	Jan 20, 2016	WALNUT CREEK, CA	Firm change
8174:149777:CA:2015-11-11	Nov 11, 2015	Nov 10, 2015	WALNUT CREEK, CA	Firm change

Relationships

Registered with (5)

→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
Jun 10, 2014 to Jun 5, 2015factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jan 20, 2016 to Jul 19, 2016factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Nov 10, 2015 to Jan 13, 2016factForm ADV
→ U•• F•••••••• S••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jul 8, 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.