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

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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

R•••• W•••••• L•••••••

Advisor at C•••••••• C•••••• M••••••••• L••

Palos Verdes Estates, CA | MEMPHIS, TN

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Search this name across graphsid dfx:ria:9f356ed0-56a4-2fb3-2e5c-723c4e88b5d6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 24, 2003 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••••••••• L••
Current firm class: other adviserderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 4, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••• C•••••• M••••••••• L••	Other adviser	Aug 10, 2020	n/a	yes	MEMPHIS, TN\|Palos Verdes Estates, CA	Current employment
I•••••• A•••••••• I•••	Asset manager	Nov 3, 2016	Apr 5, 2018	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
I•••••• A•••••••• I•••	C•••••••• C•••••• M••••••••• L••	Apr 5, 2018	Aug 10, 2020	858	Firm change after gap	Other
G•••••• S•••• • C•• L••	G•••••• S•••• A•••• M••••••••• L•••	Nov 13, 2015

Relationships

Registered with (4)

→ C•••••••• C•••••• M••••••••• L••Registered adviserregistration: current employment
Aug 10, 2020 to presentfactForm ADV
→ I•••••• A•••••••• I•••Registered adviserregistration: previous registration
Nov 3, 2016 to Apr 5, 2018factForm ADV
→ G•••••• S•••• A•••• M••••••••• L•••Registered adviserregistration: previous registration
Jul 24, 2003 to Nov 13, 2015factForm ADV
→ G•••••• S•••• • C•• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9f356ed0-56a4-2fb3-2e5c-723c4e88b5d6
First observed: Jul 24, 2003
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.