R•••• F•••••

Advisor at C•••••• S••••• • C••• I•••

Folsom, CA | Lone Tree, CO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:a65d39f0-8b41-23dc-c479-c15586834f1f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 27, 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•••••• S••••• • C••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Oct 25, 1996earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• S••••• • C••• I•••	National bd RIA	Jun 29, 2020	n/a	yes	Folsom, CA\|Lone Tree, CO	Current employment
M•••• C•••••• M••••••••• I•••	Former SEC adviser	Nov 7, 2017	Jun 3, 2020	no	Rancho Cordova, CA\|SAN MATEO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••• C•••••• M••••••••• I•••	C•••••• S••••• • C••• I•••	Jun 3, 2020	Jun 29, 2020	26	Firm change	Other
S•••••••• I••••••••• M•••••••••	M•••• C•••••• M••••••••• I•••	Nov 7, 2017	Nov 7, 2017

Relationships

Registered with (4)

→ C•••••• S••••• • C••• I•••Registered adviserregistration: current employment
Jun 29, 2020 to presentfactForm ADV
→ M•••• C•••••• M••••••••• I•••Registered adviserregistration: previous registration
Nov 7, 2017 to Jun 3, 2020factForm ADV
→ S•••••••• I••••••••• M•••••••••Registered adviserregistration: previous registration
May 31, 2017 to Nov 7, 2017factForm ADV
→ C••••• A•••••• N••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a65d39f0-8b41-23dc-c479-c15586834f1f
First observed: Jun 27, 2006
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.