DFX Intelligence

F•••••••• J••••• F•••••••• L•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

F•••••••• J••••• F•••••••• L•••

Advisor at C••••• I••••••••• A••••••• L••

PALM HABOR, FL | CLEARWATER, FL

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Search this name across graphsid dfx:ria:57437ca8-d9a8-ed34-e0de-79e76c10b6ab

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Nov 6, 2015 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••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 15, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Dec 23, 2015	n/a	yes	CLEARWATER, FL\|PALM HABOR, FL	Current employment
O••••••• F•••••••• S••••••• L••	Mixed wealth	Nov 6, 2015	Nov 9, 2015	no	SAN JUAN, PR

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O••••••• F•••••••• S••••••• L••	C••••• I••••••••• A••••••• L••	Nov 9, 2015	Dec 23, 2015	44	Firm change	Other

Relationships

Registered with (2)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Dec 23, 2015 to presentfactForm ADV
→ O••••••• F•••••••• S••••••• L••Registered adviserregistration: previous registration
Nov 6, 2015 to Nov 9, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:57437ca8-d9a8-ed34-e0de-79e76c10b6ab
First observed: Nov 6, 2015
Last observed: Sep 15, 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.