DFX Intelligence

S•••• R•••••••• O••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor22 years in industry

S•••• R•••••••• O••••

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

Redwood City, CA | NEWPORT BEACH, CA

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Search this name across graphsid dfx:ria:88209813-ce51-13e3-d9f9-9549372655fe

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Nov 19, 2018 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••••••• P••••••• I••••••••• A•••••••• L••
Current firm class: institutional managerderived
Book size: not public••• Locked
Industry start: Jan 1, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••• P••••••• I••••••••• A•••••••• L••	I•••••••••_MANAGER	Nov 5, 2020	n/a	yes	Redwood City, CA\|NEWPORT BEACH, CA	Current employment
W•••• I••••••••• A•••••••• L••	Other adviser	Nov 19, 2018	Nov 4, 2020	no	San Mateo, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• I••••••••• A•••••••• L••	C••••••• P••••••• I••••••••• A•••••••• L••	Nov 4, 2020	Nov 5, 2020	1	Firm change	Other

Team moves

••• Locked

Team	Left	Joined	From	Kind
208512:126777:CA:2020-11-04	Nov 4, 2020	Nov 5, 2020	SAN MATEO, CA	Firm change

Relationships

Registered with (2)

→ C••••••• P••••••• I••••••••• A•••••••• L••Registered adviserregistration: current employment
Nov 5, 2020 to presentfactForm ADV
→ W•••• I••••••••• A•••••••• L••Registered adviserregistration: previous registration
Nov 19, 2018 to Nov 4, 2020factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:88209813-ce51-13e3-d9f9-9549372655fe
First observed: Nov 19, 2018
Last observed: Sep 14, 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.