DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)36 years in industry

G••••• G•••••••• E•••••••

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

O•••••, CA

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Search this name across graphsid dfx:ria:9b506e58-84cf-ebd5-09cf-1170a584a4fb

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Nov 16, 1992 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••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 1, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 25derivedfrom 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	Nov 12, 2020	n/a	yes	O•••••, CA	Current employment
O••••• C•••••• M••••••••• I•••	State registered	Apr 9, 2001	n/a	yes	O•••••, CA	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••• A••••• A••••••• S•••••••• I•••	C••••• I••••••••• A••••••• L••	Nov 12, 2020	Nov 12, 2020	0	Bulk transfer	Ibd to ibd
F•• A••••••• S••••••• I••	O••••• C•••••• M••••••••• I•••	Jan 3, 2007	Apr 9, 2001

Relationships

Registered with (4)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Nov 12, 2020 to presentfactForm ADV
→ O••••• C•••••• M••••••••• I•••Registered adviserregistration: current employment
Apr 9, 2001 to presentfactForm ADV
→ F•••• A••••• A••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jan 1, 2007 to Nov 12, 2020factForm ADV
→ F•• A••••••• S••••••• I••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9b506e58-84cf-ebd5-09cf-1170a584a4fb
First observed: Nov 16, 1992
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.