DFX Intelligence

E••••• P•••• H••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)23 years in industry

E••••• P•••• H••••••

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

Lake Suzy, FL

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Search this name across graphs

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Apr 16, 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••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Apr 16, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 7

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Aug 19, 2025	n/a	yes	Lake Suzy, FL	Current employment
A•••••• A••••••• S•••••••	Former SEC adviser	Feb 7, 2017	Sep 5, 2025	no	PORT CHARLOTTE, FL\|Lake Suzy, FL\|DALLAS, TX\|Punta Gorda, FL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A•••••• A••••••• S•••••••	C••••• I••••••••• A••••••• L••	Sep 5, 2025	Aug 19, 2025	-17	Bulk transfer	Ibd to ibd
C••••• A•••••• N••••••• L••	A•••••• A••••••• S•••••••	Jan 29, 2016	Jan 29, 2016

Relationships

Registered with (7)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Aug 19, 2025 to presentfactForm ADV
→ A•••••• A••••••• S•••••••Registered adviserregistration: previous registration
Feb 7, 2017 to Sep 5, 2025factForm ADV
→ C••••• A•••••• N••••••• L••Registered adviserregistration: previous registration
Oct 14, 2015 to Jan 29, 2016factForm ADV
→ F•••• A••••• A••••••• S•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Apr 16, 2003
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.