DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Analyst30 years in industry

R•••••• L•• C••••••

Advisor at C•••••• C•••••• M•••••••••

INDIO, CA

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Search this name across graphsid dfx:ria:8965e7e9-fdb4-c920-85c0-a29bac8ed35e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Oct 31, 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•••••• C•••••• M•••••••••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: May 13, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom 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•••••• C•••••• M•••••••••	State registered	Jan 1, 2026	n/a	yes	INDIO, CA	Current employment
C••••••••• I••••••••• L••	State registered	Oct 31, 2018	Aug 28, 2020	no	HERMOSA BEACH, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••••• I••••••••• L••	C•••••• C•••••• M•••••••••	Aug 28, 2020	Jan 1, 2026	1,952	Firm change after gap	Other

Relationships

Registered with (2)

→ C•••••• C•••••• M•••••••••Registered adviserregistration: current employment
Jan 1, 2026 to presentfactForm ADV
→ C••••••••• I••••••••• L••Registered adviserregistration: previous registration
Oct 31, 2018 to Aug 28, 2020factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8965e7e9-fdb4-c920-85c0-a29bac8ed35e
First observed: Oct 31, 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.