DFX Intelligence

V••••••• K••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

V••••••• K••••••••

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

MISSION VIEJO, CA

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Search this name across graphsid dfx:ria:854e79c2-5d1e-11ad-c693-01119c156511

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:36 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Nov 10, 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: Dec 6, 2012earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Jun 29, 2023	n/a	yes	MISSION VIEJO, CA	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Apr 11, 2018	Oct 6, 2022	no	SANTA ANA, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	C••••• I••••••••• A••••••• L••	Oct 6, 2022	Jun 29, 2023	266	Firm change	RIA to ibd
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••	L•• F•••••••• L••	Feb 8, 2018	Apr 11, 2018

Team moves

••• Locked

Team	Left	Joined	From	Kind
6413:105644:CA:2022-09-26	Oct 6, 2022	Jun 29, 2023	SANTA ANA, CA	Firm change

Relationships

Registered with (3)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Jun 29, 2023 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Apr 11, 2018 to Oct 6, 2022factForm ADV
→ N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Registered adviserregistration: previous registration
Nov 10, 2014 to Feb 8, 2018factForm ADV

Dated events

Occurred
Oct 6, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:854e79c2-5d1e-11ad-c693-01119c156511
First observed: Nov 10, 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.