DFX Intelligence

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

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RIA / WealthAdvisor38 years in industry

R•• M•••••• L•••••••

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

COSTA MESA, CA

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Search this name across graphsid dfx:ria:74d726e0-51c7-0179-b28d-609269aa7c12

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
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•••••••• I••••••••• P•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Sep 6, 1988earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••• I••••••••• P•••••••• L••	Independent wealth	Sep 18, 2025	n/a	yes	COSTA MESA, CA	Current employment
U•• F•••••••• S••••••• I•••	Wirehouse	Jul 8, 1997	Jun 4, 2009	no	NEWPORT BEACH, CA\|NEWPORT BEACH, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•• F•••••••• S••••••• I•••	C•••••••• I••••••••• P•••••••• L••	Jun 4, 2009	Sep 18, 2025	5,950	Firm change after gap	Wirehouse to RIA

Relationships

Registered with (2)

→ C•••••••• I••••••••• P•••••••• L••Registered adviserregistration: current employment
Sep 18, 2025 to presentfactForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Jul 8, 1997 to Jun 4, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:74d726e0-51c7-0179-b28d-609269aa7c12
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.