T•••• L••• K•••

Advisor at C••••• M••••••

••• Locked

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7af36f07-473a-ac8b-ed57-9e8e06412d97

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 2
On other graphs: 0
Observed: May 13, 2011 to Sep 15, 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••••• M••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Apr 23, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• W••••• S••••••••• L••	Independent wealth	Oct 15, 2025	n/a	yes	HOUSTON, TX\|NEWPORT BEACH, CA	Current employment
L••• A••••• F•••••••• L••	Independent wealth	Jan 4, 2024	n/a	yes	Newport Beach, CA\|PASADENA, CA	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
D•••• I••••••••• A•••••••	S•••••• W••••• S••••••••• L••	Nov 2, 2025	Oct 15, 2025	-18	Firm change	Other
S•••••• W••••• S••••••••• L••	C••••• M••••••	Feb 9, 2025	Feb 7, 2017

Relationships

Registered with (6)

→ S•••••• W••••• S••••••••• L••Registered adviserregistration: previous registration
Jul 20, 2016 to Feb 9, 2025factForm ADV
→ L••• A••••• F•••••••• L••Registered adviserregistration: current employment
Jan 4, 2024 to presentfactForm ADV
→ P••••••• F••••••••Registered adviserregistration: previous registration
Jan 10, 2014 to May 12, 2017factForm ADV
→ C••••• M••••••

Dated events

Occurred
Nov 2, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 9, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7af36f07-473a-ac8b-ed57-9e8e06412d97
First observed: May 13, 2011
Last observed: Sep 15, 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.