DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

D•••••• W•••••• C•••

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

••• Locked

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Search this name across graphsid dfx:ria:8835253e-41cf-4296-0dcc-b38a7d5271c7

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jun 18, 2009 to Sep 15, 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: Sep 10, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 2derivedfrom 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	Mar 21, 2024	n/a	yes	TEMPE, AZ\|SCOTTSDALE, AZ\|GLENDALE, AZ\|WEST LAFAYETTE, IN	Current employment
W••••• M••••••••• I••••••••• L•••	Former SEC adviser	Jun 2, 2010	May 14, 2014	no	PEORIA, AZ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W••••• M••••••••• I••••••••• L•••	C••••• I••••••••• A••••••• L••	May 14, 2014	Mar 21, 2024	3,599	Firm change after gap	Other
T•• P••••••• N••••••• I•••	W••••• M••••••••• I••••••••• L•••	Sep 14, 2010	Jun 2, 2010

Relationships

Registered with (3)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Mar 21, 2024 to presentfactForm ADV
→ W••••• M••••••••• I••••••••• L•••Registered adviserregistration: previous registration
Jun 2, 2010 to May 14, 2014factForm ADV
→ T•• P••••••• N••••••• I•••Registered adviserregistration: previous registration
Jun 18, 2009 to Sep 14, 2010factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8835253e-41cf-4296-0dcc-b38a7d5271c7
First observed: Jun 18, 2009
Last observed: Sep 15, 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.