DFX Intelligence

D•••• L•• T•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

D•••• L•• T•••••

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

LEAVENWORTH, KS

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Search this name across graphsid dfx:ria:75986934-aa81-a19f-f301-a131423d23a2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Apr 1, 2014 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 public••• Locked
Industry start: Mar 28, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Mar 31, 2025	n/a	yes	LEAVENWORTH, KS	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Jul 19, 2023	Apr 17, 2025	no	WESTMINSTER, CA\|LONG BEACH, CA\|MISSION VIEJO, CA\|SANTA ANA, CA\|STANTON, CA\|NEWPORT BEACH, CA\|ANAHEIM, CA\|GARDEN GROVE, CA\|ANAHEIM, CA\|HUNTINGTON BEACH, CA\|LA HABRA, CA\|SANTA ANA, CA\|TUSTIN, CA\|IRVINE, CA\|SAN CLEMENTE, CA\|BREA, CA\|FULLERTON, CA\|CERRITOS, CA\|STANTON, CA\|HUNTINGTON BEACH, CA\|LONG BEACH, CA\|ORANGE, CA\|WEST COVINA, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	C••••• I••••••••• A••••••• L••	Apr 17, 2025	Mar 31, 2025	-17	Firm change	Ibd to ibd
B••••••• I••••••••• S•••••••• I••• •••••	L•• F•••••••• L••	Jul 19, 2023	Jul 19, 2023

Relationships

Registered with (4)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Mar 31, 2025 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Jul 19, 2023 to Apr 17, 2025factForm ADV
→ B••••••• I••••••••• S•••••••• I••• •••••Registered adviserregistration: previous registration
Dec 15, 2015 to Jul 19, 2023factForm ADV
→ T••••••• I••••••••• M••••••••• I•••

Dated events

Occurred
Apr 17, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:75986934-aa81-a19f-f301-a131423d23a2
First observed: Apr 1, 2014
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.