DFX Intelligence

P••••••• R••••• O•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Analyst19 years in industry

P••••••• R••••• O•••••

Advisor at C• A•••••••• L••

TORRANCE, CA | BOSTON, MA

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Search this name across graphsid dfx:ria:67a54fc6-da6a-0c29-ccf8-889ac48ff418

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Feb 2, 2007 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• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Dec 11, 2006earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C• A•••••••• L••	Independent wealth	Jun 1, 2026	n/a	yes	TORRANCE, CA\|BOSTON, MA	Current employment
C••••••• C•••••• G••••• L••	Former SEC adviser	Jul 11, 2016	Jun 10, 2026	no	TORRANCE, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••• C•••••• G••••• L••	C• A•••••••• L••	Jun 10, 2026	Jun 1, 2026	-9	Firm change	RIA to RIA
F•••• F••••••••• A•••••••	C••••••• C•••••• G••••• L••	Jul 11, 2016	Jul 11, 2016

Team moves

••• Locked

Team	Left	Joined	From	Kind
172556:310873:CA:2026-06-10	Jun 10, 2026	Jun 1, 2026	TORRANCE, CA	Firm change

Relationships

Registered with (5)

→ C• A•••••••• L••Registered adviserregistration: current employment
Jun 1, 2026 to presentfactForm ADV
→ C••••••• C•••••• G••••• L••Registered adviserregistration: previous registration
Jul 11, 2016 to Jun 10, 2026factForm ADV
→ F•••• F••••••••• A•••••••Registered adviserregistration: previous registration
Mar 27, 2013 to Jul 11, 2016factForm ADV
→ C•••••••• G••••• M•••••• I•••

Dated events

Occurred
Jun 10, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:67a54fc6-da6a-0c29-ccf8-889ac48ff418
First observed: Feb 2, 2007
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.