DFX Intelligence

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

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RIA / WealthAdvisor33 years in industry

D••••• D••• M••••••••

Advisor at C•••••• L••

Irvine, CA | ROCKFORD, IL

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:7d29fb93-91e9-3d38-0729-f767b32eaf4b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jun 6, 2007 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•••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jul 1, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• L••	Independent wealth	Mar 6, 2026	n/a	yes	Irvine, CA\|ROCKFORD, IL	Current employment
I•••••• W••••• S••••••••• L•	Former SEC adviser	Jan 19, 2016	Mar 5, 2026	no	Irvine, CA\|IRVINE, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I•••••• W••••• S••••••••• L•	C•••••• L••	Mar 5, 2026	Mar 6, 2026	1	Firm change	RIA to RIA
J• W• C••• A•••••••• I•••	I•••••• W••••• S••••••••• L•	Aug 7, 2009	Oct 26, 2009

Team moves

••• Locked

Team	Left	Joined	From	Kind
151437:111221:CA:2026-03-05	Mar 5, 2026	Mar 6, 2026	IRVINE, CA	Firm change

Relationships

Registered with (4)

→ C•••••• L••Registered adviserregistration: current employment
Mar 6, 2026 to presentfactForm ADV
→ I•••••• W••••• S••••••••• L•Registered adviserregistration: previous registration
Jan 19, 2016 to Mar 5, 2026factForm ADV
→ J• W• C••• A•••••••• I•••Registered adviserregistration: previous registration
May 21, 2008 to Aug 7, 2009factForm ADV
→ 1•• G••••• A••••••• I••

Dated events

Occurred
Mar 5, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7d29fb93-91e9-3d38-0729-f767b32eaf4b
First observed: Jun 6, 2007
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.