DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner34 years in industry

C••••• L••• S••••••

Advisor at C••• W••••• M•••••••••

LAKESIDE, CA | KULA, HI

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Search this name across graphsid dfx:ria:59f95797-5605-6bb8-648b-0baf965f5ac6

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Jul 8, 1997 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••• W••••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jul 23, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••• W••••• M•••••••••	I•••••••••_WEALTH	Jan 4, 2019	n/a	yes	KULA, HI\|LAKESIDE, CA	Current employment
C•••••• F•••••••• C••••••••• G••••• I•••	Former SEC adviser	Jul 20, 2015	Feb 28, 2020	no	SANDPOINT, ID\|SAN JUAN CAPISTRANO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• F•••••••• C••••••••• G••••• I•••	C••• W••••• M•••••••••	Feb 28, 2020	Jan 4, 2019	-420	Firm change after gap	RIA to RIA
I••••••••• F•••••••• G••••• L••	C•••••• F•••••••• C••••••••• G••••• I•••	Jul 15, 2015	Jul 20, 2015

Team moves

••• Locked

Team	Left	Joined	From	Kind
133657:299089:CA:2020-02-28	Feb 28, 2020	Jan 4, 2019	SAN JUAN CAPISTRANO, CA	Firm change after gap

Relationships

Registered with (7)

→ C••• W••••• M•••••••••Registered adviserregistration: current employment
Jan 4, 2019 to presentfactForm ADV
→ C•••••• F•••••••• C••••••••• G••••• I•••Registered adviserregistration: previous registration
Jul 20, 2015 to Feb 28, 2020factForm ADV
→ I••••••••• F•••••••• G••••• L••Registered adviserregistration: previous registration
Jul 2, 2015 to Jul 15, 2015factForm ADV
→ D••• D••••••• • C••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:59f95797-5605-6bb8-648b-0baf965f5ac6
First observed: Jul 8, 1997
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.