DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

T•••• R•• R•••••••

Advisor at C•••••••• F••••••••• I•••

Los Alamitos, CA

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Search this name across graphsid dfx:ria:a1985757-1068-046e-c5eb-1c42417dc18c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jun 14, 1999 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••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 19, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••• F••••••••• I•••	Bd affiliated wealth	Jan 4, 2021	n/a	yes	Los Alamitos, CA	Current employment
C••••••••• C•••••• S••••••••• I•••	Independent wealth	Jun 14, 1999	Dec 31, 2019	no	MADISON, WI\|LOS ALAMITOS, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••••• C•••••• S••••••••• I•••	C•••••••• F••••••••• I•••	Dec 31, 2019	Jan 4, 2021	370	Firm change	RIA to ibd

Relationships

Registered with (2)

→ C•••••••• F••••••••• I•••Registered adviserregistration: current employment
Jan 4, 2021 to presentfactForm ADV
→ C••••••••• C•••••• S••••••••• I•••Registered adviserregistration: previous registration
Jun 14, 1999 to Dec 31, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a1985757-1068-046e-c5eb-1c42417dc18c
First observed: Jun 14, 1999
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.