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

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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

R••••• D•••• S••••••

Advisor at C••••••••• F•••••••• N••••••

Walnut Creek, CA

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Search this name across graphsid dfx:ria:69f4d9c9-6e44-d7c2-4504-35834472f701

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 13, 2003 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••••••••• F•••••••• N••••••
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 1, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 4derivedfrom 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••••••••• F•••••••• N••••••	National bd RIA	Jan 3, 2022	n/a	yes	Walnut Creek, CA	Current employment
C••••••••• F•••••••• N••••••	National bd RIA	Jun 26, 2017	Dec 31, 2021	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
M•• I•••••••• S•••••••• L••	C••••••••• F•••••••• N••••••	Jun 30, 2017	Jun 26, 2017	-4	Firm change	Other
M•• F•••••••• S•••••••• I•••	M•• I•••••••• S•••••••• L••	Mar 25, 2017

Relationships

Registered with (3)

→ C••••••••• F•••••••• N••••••Registered adviserregistration: previous registration
Jun 26, 2017 to Dec 31, 2021factForm ADV
→ M•• I•••••••• S•••••••• L••Registered adviserregistration: previous registration
Mar 25, 2017 to Jun 30, 2017factForm ADV
→ M•• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Feb 13, 2003 to Mar 25, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:69f4d9c9-6e44-d7c2-4504-35834472f701
First observed: Feb 13, 2003
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.