DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

C•••••• A••••• C•••••••

Advisor at I• F•••••••• A••••••• S••••••• L••

CHARLOTTE, NC | Huntington Beach, CA

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Search this name across graphsid dfx:ria:51c32ed2-2493-a6f7-d9e6-32b9e9ae73a8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jan 8, 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: I• F•••••••• A••••••• S••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 1, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
I• F•••••••• A••••••• S••••••• L••	Independent wealth	Feb 5, 2026	n/a	yes	CHARLOTTE, NC\|Huntington Beach, CA	Current employment
P••• A••••• S••••••••• L••	Bd affiliated wealth	Apr 27, 2020	Sep 22, 2022	no	IRVINE, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P••• A••••• S••••••••• L••	I• F•••••••• A••••••• S••••••• L••	Sep 22, 2022	Feb 5, 2026	1,232	Firm change after gap	Ibd to RIA
T•••••• C••••••• I•••	L•• F•••••••• L••	Apr 27, 2020	Nov 29, 2017

Team moves

••• Locked

Team	Left	Joined	From	Kind
281597:6413:CA:2020-04-27	Apr 27, 2020	Nov 29, 2017	IRVINE, CA	Firm change after gap
29604:281597:CA:2017-11-29	Nov 29, 2017	Jan 13, 2016	IRVINE, CA	Firm change after gap

Relationships

Registered with (5)

→ I• F•••••••• A••••••• S••••••• L••Registered adviserregistration: current employment
Feb 5, 2026 to presentfactForm ADV
→ P••• A••••• S••••••••• L••Registered adviserregistration: previous registration
Apr 27, 2020 to Sep 22, 2022factForm ADV
→ T•••••• C••••••• I•••Registered adviserregistration: previous registration
Jan 13, 2016 to Apr 27, 2020factForm ADV
→ L•• F•••••••• L••

Dated events

Occurred
Sep 22, 2022
Advisor changed firm
C•••••• A••••• C••••••• left P••• A••••• S••••••••• L•• for I• F•••••••• A••••••• S••••••• L•• (registered 2026-02-05)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:51c32ed2-2493-a6f7-d9e6-32b9e9ae73a8
First observed: Jan 8, 2009
Last observed: Sep 14, 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.