DFX Intelligence

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

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RIA / WealthAdvisor35 years in industry

A•••••• F•••••••••

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

NEWPORT BEACH, CA | San Diego, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:60e9b9c8-2da4-63ae-e435-3e5349b11d79

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Jul 8, 1997 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••••••• I••••••••• A•••••••• L••
Current firm class: institutional managerderived
Book size: not public••• Locked
Industry start: May 2, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 7

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••• P••••••• I••••••••• A•••••••• L••	I•••••••••_MANAGER	May 10, 2023	n/a	yes	San Diego, CA\|NEWPORT BEACH, CA	Current employment
O•••••••••	I•••••••••_MANAGER	Dec 5, 2018	Nov 22, 2023	no	San Diego, CA\|OVERLAND PARK, KS

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O•••••••••	C••••••• P••••••• I••••••••• A•••••••• L••	Nov 22, 2023	May 10, 2023	-196	Firm change after gap	Other
L•• F•••••••• L••	O•••••••••	Dec 31, 2018	Dec 5, 2018

Team moves

••• Locked

Team	Left	Joined	From	Kind
106766:126777:KS:2023-11-22	Nov 22, 2023	May 10, 2023	OVERLAND PARK, KS	Firm change after gap
125112:6413:CA:2018-12-31	Dec 31, 2018	Oct 19, 2012	LA JOLLA, CA	Firm change after gap
6413:106766:OH:2018-12-31	Dec 31, 2018	Dec 5, 2018	BRYAN, OH	Firm change

Relationships

Registered with (8)

→ C••••••• P••••••• I••••••••• A•••••••• L••Registered adviserregistration: current employment
May 10, 2023 to presentfactForm ADV
→ O•••••••••Registered adviserregistration: previous registration
Dec 5, 2018 to Nov 22, 2023factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Oct 19, 2012 to Dec 31, 2018factForm ADV
→ I••••••••• F•••••••• P•••••••

Dated events

Occurred
Nov 22, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:60e9b9c8-2da4-63ae-e435-3e5349b11d79
First observed: Jul 8, 1997
Last observed: Sep 14, 2026 9 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.