DFX Intelligence

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

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RIA / WealthAdvisor30 years in industry

P•••••• D•••• M•••••••

Advisor at C••• P•••••••

La Verne, CA | OFALLON, MO

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Search this name across graphsid dfx:ria:5ec4a606-54fb-fe22-7e22-1458ee1b584f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Nov 2, 2007 to Sep 14, 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••• P•••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Mar 1, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom 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••• P•••••••	Independent wealth	Jan 5, 2023	n/a	yes	La Verne, CA\|OFALLON, MO	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Aug 19, 2020	Dec 19, 2022	no	SAN MATEO, CA\|SAN MATEO, CA\|ROSEVILLE, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	C••• P•••••••	Dec 19, 2022	Jan 5, 2023	17	Firm change	RIA to RIA
S••••••• F•••••••• S•••••••• I•••	L•• F•••••••• L••	Sep 8, 2020	Aug 19, 2020

Team moves

••• Locked

Team	Left	Joined	From	Kind
15296:6413:CA:2020-09-04	Sep 8, 2020	Aug 19, 2020	SAN MATEO, CA	Firm change

Relationships

Registered with (4)

→ C••• P•••••••Registered adviserregistration: current employment
Jan 5, 2023 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Aug 19, 2020 to Dec 19, 2022factForm ADV
→ S••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
May 6, 2015 to Sep 8, 2020factForm ADV
→ I••••••••• A••••••• I••••••••• I•••Registered adviser

Dated events

Occurred
Dec 19, 2022
Advisor changed firm
P•••••• D•••• M••••••• left L•• F•••••••• L•• for C••• P••••••• (registered 2023-01-05)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5ec4a606-54fb-fe22-7e22-1458ee1b584f
First observed: Nov 2, 2007
Last observed: Sep 14, 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.