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L••••••• E••••• R•••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner19 years in industry

L••••••• E••••• R•••••••••

Advisor at Y••••••• C•••••• M•••••••••

••• Locked

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Search this name across graphsid dfx:ria:871fdc06-1aa1-8df2-b68f-9e260e027662

Data as of Sep 16, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Nov 21, 2006 to Sep 16, 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: Y••••••• C•••••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Nov 21, 2006earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C• A•••••••• L••	Independent wealth	Sep 15, 2026	n/a	yes	BOSTON, MA\|IRVINE, CA	Current employment
Y••••••• C•••••• M•••••••••	Independent wealth	Sep 29, 2025	n/a	yes	NEWPORT BEACH, CA	Current employment

Moves

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From	To	Left	Joined	Gap, days	Kind	Move type
G•••••••• I••••••••• A•••••••• I•••	Y••••••• C•••••• M•••••••••	Dec 17, 2008	Sep 29, 2025	6,130	Firm change after gap	Other

Relationships

Registered with (2)

→ Y••••••• C•••••• M•••••••••Registered adviserregistration: current employment
Sep 29, 2025 to presentfactForm ADV
→ G•••••••• I••••••••• A•••••••• I•••Registered adviserregistration: previous registration
Nov 21, 2006 to Dec 17, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:871fdc06-1aa1-8df2-b68f-9e260e027662
First observed: Nov 21, 2006
Last observed: Sep 16, 2026 6 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.