DFX Intelligence

R••• M•••••• D••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)28 years in industry

R••• M•••••• D••

Advisor at C•••••• A•••••••

Park City, UT | WOODLAND HILLS, CA

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: May 14, 2002 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•••••• A•••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 19, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• A•••••••	Bd affiliated wealth	Feb 21, 2014	n/a	yes	Park City, UT	Current employment
L•••••• I•••••••••	Independent wealth	Feb 21, 2014	n/a	yes	Park City, UT\|WOODLAND HILLS, CA	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••••• A•••••••• I••	L•••••• I•••••••••	Jun 1, 2012	Feb 21, 2014	630	Bulk transfer	Other
K••• C•••••• A•••••••• L••	C••••••••• A•••••••• I••	Nov 18, 2011	Dec 22, 2011

Relationships

Registered with (6)

→ C•••••• A•••••••Registered adviserregistration: current employment
Feb 21, 2014 to presentfactForm ADV
→ L•••••• I•••••••••Registered adviserregistration: current employment
Feb 21, 2014 to presentfactForm ADV
→ C••••••••• A•••••••• I••Registered adviserregistration: previous registration
Dec 22, 2011 to Jun 1, 2012factForm ADV
→ K••• C•••••• A•••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: May 14, 2002
Last observed: Sep 15, 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.