DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

I••••• L••••• K••••

Advisor at C•••••• S••••• • C••• I•••

Westlake, TX | Bellevue, WA

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Search this name across graphsid dfx:ria:524032e9-fc34-7086-e9f3-5eb3e3f63f40

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Aug 9, 2000 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•••••• S••••• • C••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jan 28, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• S••••• • C••• I•••	National bd RIA	Jun 9, 2023	n/a	yes	Bellevue, WA\|Westlake, TX	Current employment
T• A••••••••• I••••••••• M••••••••• L••	Former SEC adviser	Mar 14, 2023	Sep 7, 2023	no	Bellevue, WA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T• A••••••••• I••••••••• M••••••••• L••	C•••••• S••••• • C••• I•••	Sep 7, 2023	Jun 9, 2023	-90	Bulk transfer	RIA to ibd
T•• P•••••• F•••••••• G••••• I•••	T• A••••••••• I••••••••• M••••••••• L••	Feb 8, 2023	Mar 14, 2023

Relationships

Registered with (4)

→ C•••••• S••••• • C••• I•••Registered adviserregistration: current employment
Jun 9, 2023 to presentfactForm ADV
→ T• A••••••••• I••••••••• M••••••••• L••Registered adviserregistration: previous registration
Mar 14, 2023 to Sep 7, 2023factForm ADV
→ T•• P•••••• F•••••••• G••••• I•••Registered adviserregistration: previous registration
Aug 31, 2012 to Feb 8, 2023factForm ADV
→ W•••• F•••• A•••••••

Dated events

Occurred
Feb 8, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:524032e9-fc34-7086-e9f3-5eb3e3f63f40
First observed: Aug 9, 2000
Last observed: Sep 15, 2026 7 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.