DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner34 years in industry

R••••• C•••••• S••••

Advisor at C••••• P••••••• L••

COSTA MESA, CA | NEW YORK, NY

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Search this name across graphsid dfx:ria:5ffd483c-1e37-0873-9854-36607a1395b7

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 23, 1995 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••••• P••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Feb 1, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• P••••••• L••	Independent wealth	Dec 5, 2012	n/a	yes	COSTA MESA, CA\|NEW YORK, NY	Current employment
H•• P••••••• A•••••• A••••••• L••	Former SEC adviser	Nov 19, 2012	Sep 2, 2017	no	COSTA MESA, CA\|NEW YORK, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H•• P••••••• A•••••• A••••••• L••	C••••• P••••••• L••	Sep 2, 2017	Dec 5, 2012	-1,732	Firm change after gap	Other
M•••••••• A•••••••	H•• P••••••• A•••••• A••••••• L••	Nov 16, 2012	Nov 19, 2012

Relationships

Registered with (6)

→ C••••• P••••••• L••Registered adviserregistration: current employment
Dec 5, 2012 to presentfactForm ADV
→ H•• P••••••• A•••••• A••••••• L••Registered adviserregistration: previous registration
Nov 19, 2012 to Sep 2, 2017factForm ADV
→ M•••••••• A•••••••Registered adviserregistration: previous registration
Nov 16, 2006 to Nov 16, 2012factForm ADV
→ T•• A••••••• S••••••• C•••••••••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5ffd483c-1e37-0873-9854-36607a1395b7
First observed: Mar 23, 1995
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.