DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)30 years in industry

C•••• A•• W•••••••

Advisor at R•• C•••••• M••••••• L••

Hermosa Beach, CA | Rolling Hills, CA

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Search this name across graphsid dfx:ria:9edf68d3-2954-060c-8537-01fc084a23bf

Data as of Sep 22, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jul 8, 1997 to Sep 22, 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: R•• C•••••• M••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Sep 4, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•• C•••••• M••••••• L••	National bd RIA	Sep 3, 2020	n/a	yes	Hermosa Beach, CA\|Rolling Hills, CA	Current employment
U•• F•••••••• S••••••• I•••	Wirehouse	Jan 16, 2009	Sep 15, 2020	no	LOS ANGELES, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•• F•••••••• S••••••• I•••	R•• C•••••• M••••••• L••	Sep 15, 2020	Sep 3, 2020	-12	Firm change	Wirehouse to ibd
C•••••••• G••••• M•••••• I•••	U•• F•••••••• S••••••• I•••	Feb 5, 2009	Jan 16, 2009

Team moves

••• Locked

Team	Left	Joined	From	Kind
8174:31194:CA:2020-09-15	Sep 15, 2020	Sep 3, 2020	LOS ANGELES, CA	Firm change

Relationships

Registered with (3)

→ R•• C•••••• M••••••• L••Registered adviserregistration: current employment
Sep 3, 2020 to presentfactForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Jan 16, 2009 to Sep 15, 2020factForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
Jul 8, 1997 to Feb 5, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9edf68d3-2954-060c-8537-01fc084a23bf
First observed: Jul 8, 1997
Last observed: Sep 22, 2026 24 h 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.