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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)21 years in industry

E••• M•

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

PASADENA, CA

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Search this name across graphsid dfx:ria:630ca83a-7d86-85ca-ea54-f22c7795f0f0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Oct 21, 2005 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••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 1, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Oct 3, 2022	n/a	yes	PASADENA, CA	Current employment
U••• B•••••• I••••••••• I•••	Former SEC adviser	Jun 18, 2019	Sep 29, 2022	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
U••• B•••••• I••••••••• I•••	C••••• I••••••••• A••••••• L••	Sep 29, 2022	Oct 3, 2022	4	Firm change	Ibd to ibd
H••• S••••••••• •••• I•••	U••• B•••••• I••••••••• I•••	Jun 19, 2019

Relationships

Registered with (5)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Oct 3, 2022 to presentfactForm ADV
→ U••• B•••••• I••••••••• I•••Registered adviserregistration: previous registration
Jun 18, 2019 to Sep 29, 2022factForm ADV
→ H••• S••••••••• •••• I•••Registered adviserregistration: previous registration
Nov 9, 2016 to Jun 19, 2019factForm ADV
→ W•••• F•••• A•••••••

Dated events

Occurred
Sep 29, 2022
Advisor changed firm
E••• M• left U••• B•••••• I••••••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2022-10-03)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:630ca83a-7d86-85ca-ea54-f22c7795f0f0
First observed: Oct 21, 2005
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.