DFX Intelligence

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

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RIA / WealthAdvisor36 years in industry

C•••••••• E•••••••• G•••••

Advisor at C••••••••• W•••••• L••

OVERLAND PARK, KS | San Francisco, CA

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Search this name across graphsid dfx:ria:4f754c78-5358-ccb5-7658-f6898a989ae9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 11, 1999 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••••••••• W•••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 15, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••••• W•••••• L••	Independent wealth	Feb 17, 2026	n/a	yes	San Francisco, CA\|OVERLAND PARK, KS	Current employment
P••••••••• A••••••• S••••••• L••	Former SEC adviser	Sep 17, 2004	Nov 5, 2020	no	SAN FRANCISCO, CA\|SANTA BARBARA, CA\|SANTA BARBARA, CA\|San Francisco, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P••••••••• A••••••• S••••••• L••	C••••••••• W•••••• L••	Nov 5, 2020	Feb 17, 2026	1,930	Bulk transfer	RIA to RIA
J••• M••••• S••••••••• L••	P••••••••• A••••••• S••••••• L••	Sep 28, 2004	Sep 17, 2004

Relationships

Registered with (3)

→ C••••••••• W•••••• L••Registered adviserregistration: current employment
Feb 17, 2026 to presentfactForm ADV
→ P••••••••• A••••••• S••••••• L••Registered adviserregistration: previous registration
Sep 17, 2004 to Nov 5, 2020factForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
Mar 11, 1999 to Sep 28, 2004factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4f754c78-5358-ccb5-7658-f6898a989ae9
First observed: Mar 11, 1999
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.