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C•••••• N•••••• R•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Analyst43 years in industry

C•••••• N•••••• R•••••

Advisor at A••••••• S•••••••• C••••••

Santa Ana, CA | SANTA ANA, CA

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Search this name across graphsid dfx:ria:845dfc1c-7016-aac4-213f-7a6d884f4871

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Aug 9, 2017 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: A••••••• S•••••••• C••••••
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 2, 1983earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 19derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• L••••• L•	State registered	Jun 21, 2007	n/a	yes	Santa Ana, CA	Current employment
A••••••• S•••••••• C••••••	State registered	Oct 6, 2006	n/a	yes	SANTA ANA, CA

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
V••••••• C••••••	n/a	Apr 1, 2019	n/a	n/a	Departure no registered destination	Departure

Relationships

Registered with (3)

→ S••••• L••••• L•Registered adviserregistration: current employment
Jun 21, 2007 to presentfactForm ADV
→ A••••••• S•••••••• C••••••Registered adviserregistration: current employment
Oct 6, 2006 to presentfactForm ADV
→ V••••••• C••••••Registered adviserregistration: previous registration
Aug 9, 2017 to Apr 1, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:845dfc1c-7016-aac4-213f-7a6d884f4871
First observed: Aug 9, 2017
Last observed: Sep 14, 2026 7 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.