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

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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

R••• D••••• L••••

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

New York, NY | SAN JUAN, PR

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Search this name across graphsid dfx:ria:5f6348dd-1860-3af5-1794-cf764e110121

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: May 11, 2011 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••••••• C•••••• A••••••• L••
Current firm class: asset managerderived
Book size: not public••• Locked
Industry start: May 20, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••• C•••••• A••••••• L••	Asset manager	Aug 24, 2023	n/a	yes	New York, NY\|SAN JUAN, PR	Current employment
P••• I••••••••• L••	Asset manager	Jul 17, 2020	Jul 13, 2023	no	Newark, NJ	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P••• I••••••••• L••	C••••••• C•••••• A••••••• L••	Jul 13, 2023	Aug 24, 2023	42	Firm change	Other
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	P••• I••••••••• L••	Jun 2, 2020	Jul 17, 2020

Relationships

Registered with (5)

→ C••••••• C•••••• A••••••• L••Registered adviserregistration: current employment
Aug 24, 2023 to presentfactForm ADV
→ P••• I••••••••• L••Registered adviserregistration: previous registration
Jul 17, 2020 to Jul 13, 2023factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Nov 15, 2012 to Jun 2, 2020factForm ADV
→ U•• F•••••••• S••••••• I•••

Dated events

Occurred
Jul 13, 2023
Advisor changed firm
R••• D••••• L•••• left P••• I••••••••• L•• for C••••••• C•••••• A••••••• L•• (registered 2023-08-24)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5f6348dd-1860-3af5-1794-cf764e110121
First observed: May 11, 2011
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.