DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)36 years in industry

C••••• L•••• R•••••

Advisor at A••••• T••••• P•••••• W•••••

••• Locked

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Search this name across graphsid dfx:ria:5661cf39-f068-bc08-2e70-440c81e0abbd

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jun 18, 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: A••••• T••••• P•••••• W•••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Aug 24, 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: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••• T••••• P•••••• W•••••	Independent wealth	Feb 3, 2026	n/a	yes	Hermosa Beach, CA\|SCOTTSDALE, AZ\|Lakeside, MT	Current employment
A••••• T••••• S••••••••• L••	Independent wealth	Feb 3, 2026	n/a	yes	Scottsdale, AZ\|Lakeside, MT\|ROCHESTER, NY\|ROCHESTER, NY\|Hermosa Beach, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R•••••• J•••• • A••••••••• I•••	A••••• T••••• P•••••• W•••••	Feb 4, 2026	Feb 3, 2026	-1	Firm change	Ibd to RIA
R•• C•••••• M••••••• L••	R•••••• J•••• • A••••••••• I•••	Dec 26, 2017	Dec 14, 2017

Team moves

••• Locked

Team	Left	Joined	From	Kind
31194:705:CA:2017-12-26	Dec 26, 2017	Dec 14, 2017	BEVERLY HILLS, CA	Firm change

Relationships

Registered with (6)

→ A••••• T••••• P•••••• W•••••Registered adviserregistration: current employment
Feb 3, 2026 to presentfactForm ADV
→ A••••• T••••• S••••••••• L••Registered adviserregistration: current employment
Feb 3, 2026 to presentfactForm ADV
→ R•••••• J•••• • A••••••••• I•••Registered adviserregistration: previous registration
Dec 14, 2017 to Feb 4, 2026factForm ADV
→ R•• C•••••• M••••••• L••

Dated events

Occurred
Feb 4, 2026
Advisor changed firm
C••••• L•••• R••••• left R•••••• J•••• • A••••••••• I••• for A••••• T••••• S••••••••• L•• (registered 2026-02-03)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5661cf39-f068-bc08-2e70-440c81e0abbd
First observed: Jun 18, 2001
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.