DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner24 years in industry

C•••••• T••••• M••••

Advisor at C••••• P••••••• L••

SANTA BARBARA, CA | NEW YORK, NY

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Search this name across graphsid dfx:ria:65153168-28e3-4241-d7ea-40f81e6b6d62

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Jan 29, 2002 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: Jan 26, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• P••••••• R••••••••• P••• C•••••••••	Institutional manager	Apr 1, 2025	n/a	yes	NEW YORK, NY\|SANTA BARBARA, CA	Current employment
C••••• P••••••• L••	I•••••••••_WEALTH	Apr 1, 2025	n/a	yes	SANTA BARBARA, CA\|NEW YORK, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W••• C•••• F••••••••• L••	C••••• P••••••• L••	Oct 13, 2025	Apr 1, 2025	-195	Firm change after gap	RIA to RIA
P•••• I••••••••• F••••••••• L••	W••• C•••• F••••••••• L••	Aug 12, 2016	Jun 16, 2016

Team moves

••• Locked

Team	Left	Joined	From	Kind
164774:104677:CA:2016-08-12	Aug 12, 2016	Jun 16, 2016	SANTA BARBARA, CA	Firm change after gap

Relationships

Registered with (7)

→ C••••• P••••••• L••Registered adviserregistration: current employment
Apr 1, 2025 to presentfactForm ADV
→ C••••• P••••••• R••••••••• P••• C•••••••••Registered adviserregistration: current employment
Apr 1, 2025 to presentfactForm ADV
→ W••• C•••• F••••••••• L••Registered adviserregistration: previous registration
Jun 16, 2016 to Oct 13, 2025factForm ADV
→ P•••• I••••••••• F••••••••• L••

Dated events

Occurred
Oct 13, 2025
Advisor changed firm
C•••••• T••••• M•••• left W••• C•••• F••••••••• L•• for C••••• P••••••• R••••••••• P••• C••••••••• (registered 2025-04-01)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:65153168-28e3-4241-d7ea-40f81e6b6d62
First observed: Jan 29, 2002
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.