DFX Intelligence

M••• A••••• W•••••: advisor on the ria / wealth management graph | DFX Data Factory

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

M••• A••••• W•••••

Advisor at C• W••••• M••••••••• L••

San Marino, CA | SCHAUMBURG, IL

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Search this name across graphsid dfx:ria:9b82de5f-e6b3-6b0d-d1c5-ef920103a4cc

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Sep 7, 2006 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• W••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Feb 17, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 7

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C• W••••• M••••••••• L••	I•••••••••_WEALTH	Sep 26, 2017	n/a	yes	San Marino, CA\|SCHAUMBURG, IL	Current employment
T••••••• F••••••••	Former SEC adviser	Jun 29, 2016	Aug 16, 2017	no	EL SEGUNDO, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T••••••• F••••••••	C• W••••• M••••••••• L••	Aug 16, 2017	Sep 26, 2017	41	Firm change	Other
I••••••••• F•••••••• G••••• L••	T••••••• F••••••••	Jul 12, 2016	Jun 29, 2016

Relationships

Registered with (6)

→ C• W••••• M••••••••• L••Registered adviserregistration: previous registration
Nov 3, 2015 to Jun 13, 2016factForm ADV
→ T••••••• F••••••••Registered adviserregistration: previous registration
Jun 29, 2016 to Aug 16, 2017factForm ADV
→ I••••••••• F•••••••• G••••• L••Registered adviserregistration: previous registration
Jun 13, 2016 to Jul 12, 2016factForm ADV
→ C••••••• A•••• M••••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9b82de5f-e6b3-6b0d-d1c5-ef920103a4cc
First observed: Sep 7, 2006
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.