DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

D•••• R••••• K••••••

Advisor at C••••••••• F•••••••• N••••••

Carlsbad, CA

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Search this name across graphsid dfx:ria:98da6fc5-24e8-e976-27b2-098982ee8955

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: May 8, 2007 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••••••••• F•••••••• N••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Apr 1, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••••• F•••••••• N••••••	National bd RIA	Oct 4, 2024	n/a	yes	Carlsbad, CA	Current employment
C••••••• C•••••• G••••• L••	Former SEC adviser	May 18, 2021	Oct 11, 2024	no	TORRANCE, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••• C•••••• G••••• L••	C••••••••• F•••••••• N••••••	Oct 11, 2024	Oct 4, 2024	-7	Firm change	RIA to ibd
S•• I••••••••• A•••••••• I•••	C••••••• C•••••• G••••• L••	Nov 29, 2010	May 18, 2021

Relationships

Registered with (4)

→ C••••••••• F•••••••• N••••••Registered adviserregistration: current employment
Oct 4, 2024 to presentfactForm ADV
→ C••••••• C•••••• G••••• L••Registered adviserregistration: previous registration
May 18, 2021 to Oct 11, 2024factForm ADV
→ S•• I••••••••• A•••••••• I•••Registered adviserregistration: previous registration
Dec 8, 2009 to Nov 29, 2010factForm ADV
→ W••••••• F•••••••• S•••••••• I•••

Dated events

Occurred
Oct 11, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:98da6fc5-24e8-e976-27b2-098982ee8955
First observed: May 8, 2007
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.