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C••••••••• L• S••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

C••••••••• L• S••••

Advisor at O••••••• W•••••

MODESTO, CA

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Search this name across graphsid dfx:ria:a591e315-082c-a45c-1c12-e8845b0bbf0f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Oct 11, 2021 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: O••••••• W•••••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 4derivedfrom 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
O••••••• W•••••	Independent wealth	Oct 20, 2021	n/a	yes	MODESTO, CA	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Oct 11, 2021	Oct 28, 2021	no	MODESTO, CA

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
L•• F•••••••• L••	O••••••• W•••••	Oct 28, 2021	Oct 20, 2021	-8	Firm change	Ibd to new firm

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
6413:315326:CA:2021-10-28	Oct 28, 2021	Oct 20, 2021	MODESTO, CA	Firm change

Relationships

Registered with (2)

→ O••••••• W•••••Registered adviserregistration: current employment
Oct 20, 2021 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Oct 11, 2021 to Oct 28, 2021factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a591e315-082c-a45c-1c12-e8845b0bbf0f
First observed: Oct 11, 2021
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.